S E C T I O
FACULTY
PERSONNEL POLICIES
3.0 FACULTY
PERSONNEL POLICIES
3.1 DEFINITION OF FACULTY
3.1.1 TEACHING FACULTY
3.1.1.1 FULL-TIME
3.1.1.2 REGULAR PART-TIME
3.1.1.3 ADJUNCT
3.1.1.4 GRADUATE
3.1.1.5 FACULTY EMERITUS
3.1.2 ADMINISTRATIVE FACULTY
3.1.3 LIBRARIANS
3.1.3.1 CATEGORIES OF LIBRARIANS
3.1.3.1.1 FULL-TIME
3.1.3.1.2 REGULAR PART-TIME
3.1.3.1.3 PART-TIME
3.1.3.1.4 LIBRARIAN EMERITA/EMERITUS
3.1.3.2 CATEGORIES OF RANK FOR PROFESSIONAL LIBRARIANS
3.1.3.2.1 INSTRUCTOR LIBRARIAN
3.1.3.2.2 ASSISTANT LIBRARIAN
3.1.3.2.3 ASSOCIATE LIBRARIAN
3.1.3.2.4 LIBRARIAN
3.1.3.3 EVALUATION OF LIBRARIANS
3.1.3.4 PROCEDURES FOR PROMOTION FOR LIBRARIANS
3.1.3.4.1 CANDIDACY FOR PROMOTION FOR LIBRARIANS
3.1.3.4.2 CRITERIA FOR PROMOTION
3.1.3.4.3 PRIMARY PERSONS INVOLVED
3.1.3.4.4 CANDIDATE, THE
3.1.3.4.5 AD HOC COMMITTEE, THE
3.1.3.4.6 LIBRARY DIRECTOR, THE
3.1.3.4.7 VICE PRESIDENT AND DEAN FOR ACADEMIC AFFAIRS, THE
3.1.3.4.8 PRESIDENT, THE
3.1.3.5 GRIEVANCE PROCEDURES FOR LIBRARIANS
3.1.3.6 VACATIONS FOR LIBRARIANS
3.1.4 MISCELLANEOUS CATEGORY
3.1.5 DEANS OF SCHOOLS
3.1.6 FACULTY WORKLOAD
3.2 FACULTY RANK
AND INITIAL APPOINTMENT
3.2.1 CATEGORIES OF RANK
3.2.1.1 INSTRUCTOR
3.2.1.2 ASSISTANT PROFESSOR
3.2.1.3 ASSOCIATE PROFESSOR
3.2.1.4 PROFESSOR
3.3 TYPES OF APPOINTMENTS
3.3.1 TENURE-TRACK APPOINTMENTS
3.3.2 TEMPORARY APPOINTMENTS
3.3.3 NON-TENURE TRACK APPOINTMENTS (CLINICAL - COACHING- TRACK)
3.3.4 CONTRACT LETTER
3.4 ACADEMIC SEARCH PROCESS
3.4.1 CRITERIA
3.4.1.1 FACULTY
COMPLIANCE WITH IMMIGRATION LAWS
3.4.2 FULL-TIME FACULTY APPOINTMENTS-APPOINTMENT OF PROFESSIONAL LIBRARIANS
3.4.2.1 VACANCY
3.4.2.2 SEARCH
COMMITTEE SELECTION
3.4.2.3 ADVERTISEMENT OF POSITION
3.4.2.4 GUIDELINES
3.4.2.5 REVIEW CANDIDATES WITH DEAN
3.4.2.6 NUMBER OF CANDIDATES
3.4.2.7 INTERVIEWS
3.4.2.8 RECOMMENDATION FOR APPOINTMENT
3.4.3 REGULAR PART-TIME FACULTY APPOINTMENTS
3.4.3.1 ALLOCATION OF POSITION
3.4.3.2 SEARCH COMMITTEE SELECTION
3.4.3.3 ADVERTISEMENT OF POSITION
3.4.3.4 GUIDELINES
3.4.3.5 REVIEW CREDENTIALS WITH DEAN
3.4.3.6 INTERVIEWS
3.4.3.7 RECOMMENDATION FOR APPOINTMENT
3.4.4 ADJUNCT FACULTY APPOINTMENTS
3.4.4.1 ALLOCATION OF POSITION
3.4.4.2 QUALIFICATIONS/GUIDELINES
3.4.4.3 RECOMMENDATION FOR APPOINTMENT
3.4.5 NONDISCRIMINATION
3.5 PERSONNEL FILE
3.6 EVALUATION
3.6.1 RATIONALE FOR EVALUATION
3.6.1.1 FACULTY DEVELOPMENT
3.6.1.2 DECISION-MAKING
3.6.2 STANDARDS OF EVALUATION, THE
3.6.2.1 EFFECTIVENESS AS A TEACHER: WHAT GOOD TEACHING MEANS
3.6.2.2 EFFECTIVENESS AS A SCHOLAR AND AS A PROFESSIONAL
3.6.2.3 EFFECTIVENESS AS A COLLEAGUE AND CITIZEN
3.6.2.4 EFFECTIVENESS IN RELEASED-TIME ACTIVITIES
3.6.3 SOURCES OF EVALUATION, THE
3.6.3.1 WORKLOAD FORM AND REFLECTIVE NARRATIVE
3.6.3.2 COLLEAGUE EVALUATION
3.6.3.3 STUDENT OPINION
3.6.3.4 ADMINISTRATIVE EVALUATION
3.6.4 REPORTING OF EVALUATION DATA, THE
3.6.4.1 DOCUMENTS
3.6.4.2 SPECIAL REPORTS
3.6.5 INITIATION OF THE PROCESS OF EVALUATION
3.7 REAPPOINTMENT, PROMOTION, TENURE, AND PERIODIC REVIEW
3.7.1 REAPPOINTMENT PROCEDURES
3.7.1.1 TERM OF APPOINTMENT
3.7.1.2 STANDARD FOR NOTICE
3.7.1.3 RECOMMENDATION REGARDING REAPPOINTMENT
3.7.1.4 ROLE OF THE VICE PRESIDENT AND DEAN FOR ACADEMIC AFFAIRS AND THE
PRESIDENT
3.7.1.5 PROCEDURAL STANDARDS
3.7.1.5.1 CRITERIA AND NOTICE OF STANDARDS
3.7.1.5.2 PERIODIC REVIEW
3.7.1.5.3 OPPORTUNITY TO SUBMIT MATERIAL
3.7.1.5.4 NOTICE OF REASONS
3.7.1.5.5 WRITTEN REASONS
3.7.1.5.6 PETITION FOR REVIEW ALLEGING ACADEMIC FREEDOM VIOLATION
3.7.1.5.7 PETITION FOR REVIEW ALLEGING INADEQUATE CONSIDERATION
3.7.2 PROMOTION AND TENURE
3.7.2.1 CANDIDACY FOR PROMOTION
3.7.2.2 REVIEW
FOR PROMOTION
3.7.2.3 CANDIDACY
FOR TENURE
3.7.2.4 TENURE
PROCESS
3.7.2.4.1 THIRD
AND SIXTH-YEAR REVIEW
3.7.2.4.1.1
THIRD-YEAR REVIEW
3.7.2.4.1.2
SIXTH-YEAR REVIEW
3.7.3 GENERAL
STANDARDS FOR TENURE & PROMOTION
3.7.3.1 TEACHING
3.7.3.2
SCHOLARSHIP & PROFESSIONAL ACTIVITY
3.7.3.3 SERVICE
3.7.3.4 ACCESS TO
GRIEVANCE
3.7.3.5 TERMINAL ONE-YEAR REAPPOINTMENT
3.8 SEPARATION FROM EMPLOYMENT AT THE COLLEGE
3.8.1 CATEGORIES OF SEPARATION
3.8.1.1 RESIGNATION
3.8.1.2 RETIREMENT
3.8.1.3 NON-REAPPOINTMENT OR NON-RENEWAL OF APPOINTMENT
3.8.1.4 REDUCTIONS IN FORCE UNDER CONDITIONS OF FINANCIAL EXIGENCY
3.8.1.5 REDUCTION OR ELIMINATION OF PROGRAM (PENDING)
3.8.1.6 DISMISSAL FOR CAUSE
3.9 FACULTY RIGHTS AND RESPONSIBILITIES
3.9.1 ACADEMIC FREEDOM
3.9.2 PROFESSIONAL ETHICS AND PERSONAL CONDUCT
3.9.3 HUMAN RIGHTS POLICY
3.9.3.1 OVERVIEW
3.9.3.2 POLICY STATEMENT AND DEFINITION OF HUMAN RIGHTS
3.9.3.2.1 STATEMENT
3.9.3.2.2 DEFINITIONS
3.9.3.2.3 PERIODIC REVIEW
3.9.3.3 INFORMAL PROCEDURES
3.9.3.3.1 GENERAL
3.9.3.3.2 HUMAN RIGHTS ADVISORS
3.9.3.3.3 INFORMAL PROCEDURES
3.9.3.4 FORMAL PROCEDURES
3.9.3.4.1 GENERAL
3.9.3.4.2 FACULTY AND STAFF
3.9.3.4.3 MEDIATION
3.9.3.4.4 FORMAL HEARINGS
3.9.3.4.5 APPEALS
3.9.3.4.6 STUDENTS
3.9.3.4.7 EXECUTIVE
3.9.3.4.8 RECORDS AND SANCTIONS
3.9.3.5 STAFFING
3.9.3.5.1 HUMAN RIGHTS ADVISORS
3.9.3.5.2 HEARING PANELS
3.9.3.5.2.5 MEDIATORS
3.9.3.5.3 ADVOCATES
3.9.3.5.4 OVERSIGHT COMMITTEE
3.9.3.5.5 HUMAN RIGHTS INVESTIGATORS
3.9.3.6 EDUCATION AND PREVENTION
3.9.3.6.1 PUBLICATIONS
3.9.3.6.2 ORIENTATION/TRAINING
3.9.4 IMPAIRED FACULTY POLICY
3.9.4.1 POLICY
STATEMENT
3.9.4.2
DEFINITIONS
3.9.4.3 PROCEDURES
3.9.4.4 FAILURE
TO SEEK OR RESPOND TO TREATMENT
3.9.4.5 GRIEVANCE
3.9.5 RESEARCH
MISCONDUCT
3.9.5.1
INTRODUCTION
3.9.5.2
DEFINITIONS
3.9.5.3 RIGHTS
AND RESPONSIBILITIES
3.9.5.4 GENERAL
POLICIES AND PROCEDURES
3.9.5.5
CONDUCTING THE INQUIRY
3.9.5.6 INQUIRY
REPORT
3.9.5.7 INQUIRY
DECISION AND NOTIFICATION
3.9.5.8
CONDUCTING THE INVESTIGATION
3.9.5.9 CHARGE TO
COMMITTEE AND THE FIRST MEETING
3.9.5.10
INVESTIGATION
3.9.5.11 COMMENTS
ON DRAFT REPORT
3.9.5.12
INSTITUTIONAL ADMINISTRATIVE ACTIONS
3.9.5.13 OTHER
CONSIDERATIONS
3.10 FACULTY
DEVELOPMENT
3.10.1 SUPPORT FOR FACULTY RESEARCH AND DEVELOPMENT
3.10.1.1 TRAVEL TO PROFESSIONAL MEETINGS
3.10.1.2 POLICIES REGARDING FACULTY RESEARCH
3.10.1.3 GUIDELINES FOR REQUESTING RESEARCH FUNDS
3.10.1.4 PARTICIPATION IN PROFESSIONAL SOCIETIES
3.10.2 SABBATICAL LEAVES
3.10.2.1 POLICIES
3.10.2.2 PROCEDURES
3.10.3 OFFICIAL TRAVEL
3.10.3.1 TRAVEL TO PROFESSIONAL MEETINGS
3.10.3.2 SPECIAL ALLOWANCE FOR BOARD MEMBERS OR OFFICERS
3.10.3.3 INSTITUTIONAL TRAVEL
3.10.3.4 INSTRUCTIONAL TRAVEL
3.10.3.5 REIMBURSABLE EXPENSES
3.11 PROFESSIONAL RESPONSIBILITIES OF TEACHING FACULTY
3.11.1 GENERAL STATEMENT
3.11.2 TEACHING RESPONSIBILITIES
3.11.2.1 REGULAR SESSION
3.11.2.2 OVERLOADS
3.11.2.3 SUMMER SESSION
3.11.2.4 WINTER TERM
3.11.2.5 CONDENSED COURSES
3.11.2.6 AVAILABILITY
3.11.2.7 RELEASED TIME
3.11.3 ACADEMIC ADVISING
3.11.4 PROFESSIONAL AND SCHOLARLY PURSUITS
3.11.5 COLLEGE SERVICE
3.11.5.1 FACULTY MEETINGS
3.11.5.2 CONVOCATION, COMMENCEMENT, PARENTS WEEKEND AND FACULTY WORKSHOPS
3.11.5.3 COMMITTEES AND TASK FORCES
3.11.6 COMMUNITY SERVICE
3.11.7 OUTSIDE EMPLOYMENT
3.11.8 CONFLICT OF INTEREST
3.11.9 ACCESS TO ACADEMIC RECORDS
3.12 WORKING CONDITIONS
3.12.1 FACULTY HOUSING
3.12.1.1 FACULTY DRIVE
3.12.1.2 OTHER RENTAL HOUSING
3.12.1.3 MINISTERIAL HOUSING ALLOWANCE
3.12.2 ACADEMIC REGALIA
3.12.3 ORDER IN THE CLASSROOM
3.13 LEAVES
3.13.1 SICK LEAVE
3.13.2 FUNERAL LEAVE
3.13.3 MATERNITY LEAVE
3.13.4 FAMILY SICK LEAVE
3.13.5 FAMILY AND MEDICAL LEAVE
3.13.5.1 ADVANCE
NOTIFICATION
3.13.5.2 UNPAID
LEAVE
3.13.5.3 PAID
LEAVE
3.13.5.4 RETURN
TO THE POSITION
3.13.5.5
RE-ASSIGNING WORK DURING AN ACADEMIC'S F&M LEAVE
3.13.5.6 BENEFITS
3.13.5.6.1 GROUP
HEALTH PROGRAM
3.13.5.6.2
INSURANCE COVERAGE
3.13.5.6.3 RETIREMENT
AND OTHER EMPLOYMENT BENEFITS
3.13.5.7 FAILURE
TO RETURN TO THE POSITION
3.13.6 VACATIONS
3.14 FRINGE BENEFITS
3.14.1 WORKER'S COMPENSATION
3.14.2 MEDICAL SERVICES FOR FACULTY
3.14.3 MEDICAL AND HOSPITALIZATION INSURANCE
3.14.4 RETIREMENT BENEFITS
3.14.4.1 TIAA-CREF, FIDELITY, AND CHURCH PENSION PLAN
3.14.4.2 SOCIAL SECURITY
3.14.4.3 PRIVILEGES OF RETIRED FACULTY
3.14.5 FLEXIBLE BENEFITS PLAN
3.14.6 DISABILITY INSURANCE
3.14.7 LIFE INSURANCE
3.14.7.1 TERM LIFE INSURANCE
3.14.7.2 ACCIDENTAL DEATH AND DISMEMBERMENT INSURANCE
3.14.7.3 OPTIONAL INSURANCE
3.14.7.4 CONTINUATION PRIVILEGES WHILE ABSENT WITHOUT PAY
3.14.7.5 CONVERSION PRIVILEGES UPON TERMINATION OF EMPLOYMENT
3.14.8 TUITION REMISSION AND GRANTS
3.14.8.1 ELIGIBILITY
3.14.8.1.1 DEFINITIONS AND CONDITIONS
3.14.8.1.2 EMPLOYEES
3.14.8.1.3 SPOUSES OF EMPLOYEES
3.14.8.1.4 DEPENDENTS
3.14.8.1.5 DEATH, DISABILITY OR RETIREMENT OF EMPLOYEE
3.14.8.1.6 TUITION REMISSION BENEFIT
3.14.8.2 CONDITIONS FOR TUITION GRANTS-FACULTY AND STAFF DEPENDENTS
3.14.9 CAMPUS AMENITIES
3.14.9.1 ADMISSION TO FINE ARTS PROGRAMS, LECTURES, ATHLETIC EVENTS
3.14.9.2 MEALS AT THE COLLEGE
3.14.9.3 BOOKSTORE PURCHASES
3.14.9.4 CAMPUS FACILITIES
3.14.9.5 CAMPUS PARKING
3.14.9.6 EMPLOYEE ASSISTANCE PROGRAM
3.15 COMPENSATION
3.16 GRIEVANCE PROCEDURES
3.16.1 PURPOSE OF THE FACULTY GRIEVANCE COMMITTEE
3.16.2 WHO MAY GRIEVE
3.16.3 JURISDICTION OF THE FACULTY GRIEVANCE COMMITTEE (FGC)
3.16.4 GRIEVANCE PROCEDURES
3.16.4.1 INFORMAL RESOLUTION
3.16.4.2 REQUEST FOR AN INVESTIGATION
3.16.4.3 FORMING A GRIEVANCE PANEL (GP)
3.16.4.4 REVIEW OF REQUEST FOR INVESTIGATION AND DECISION BY PANEL
3.16.4.4.1 REJECTION OF THE REQUEST
3.16.4.4.2 RESUBMISSION OF THE REQUEST
3.16.4.4.3 ACCEPTANCE OF THE REQUEST
3.16.4.5 CONDUCTING THE INVESTIGATION
3.16.4.6 CONCLUDING THE INVESTIGATION
3.16.5 FORMAL HEARINGS
3.16.5.1 PROCEDURES FOR FORMAL HEARINGS
3.16.5.2 DECISION OF THE GRIEVANCE PANEL
3.16.6 DECISION OF THE PRESIDENT
3.16.7 APPEAL TO THE BOARD OF TRUSTEES
3.17 SCHEDULE OF FACULTY BENEFITS
3.18 LC COMPUTER EQUIPMENT/FACILITY USAGE POLICY
3.18.1 INTRODUCTION
3.18.2 GUIDELINES FOR RESPONSIBLE USE
3.18.2.1 IN GENERAL
3.18.2.2 PERSONAL USE; USE BY THIRD PARTIES
3.18.2.3 PLAGIARISM; PROTECTION OF INTELLECTUAL RIGHTS
3.18.3 EXAMPLES OF MISUSE
3.18.4 PRIVACY; ENFORCEMENT AND SANCTIONS
3.18.4.1 PRIVACY OF USERS
3.18.4.2 INVESTIGATION OF VIOLATIONS AND REVOCATION OF ACCESS
3.18.4.3 OTHER SANCTIONS FOR MISUSE; REPORTING MISUSE
3.18.5 PUBLICATION
3.18.6 ACKNOWLEDGEMENTS
3.19 INTELLECTUAL PROPERTY POLICY
3.19.1 INTRODUCTION
3.19.2 GENERAL POLICY
3.19.3 DEFINITIONS AND COMMENTS
3.19.3.1 WORK FOR HIRE
3.19.3.2 SUBSTANTIAL USE
3.19.3.3 QUALITY TEACHING
3.19.3.4 MEDIATED COURSES
3.19.3.5 MEDIATED COURSEWARE
3.19.3.6 INSTITUTION-DIRECTED
3.19.3.7 RIGHTS, RESPONSIBILITIES AND LIABILITIES
3.19.4 COPYRIGHTABLE PROPERTY
3.19.4.1 MEDIATED COURSES AND MEDIATED COURSEWARE
3.19.4.1.1 SELF-INITIATED MEDIATED COURSES/COURSEWARE
3.19.4.1.2 INSTITUTION-DIRECTED MEDIATED COURSE/COURSEWARE
3.19.4.2 MATERIALS OTHER THAN MEDIATED COURSEWARE
3.19.4.2.1 SCHOLARLY AND ARTISTIC WORKS
3.19.4.2.2 MANUSCRIPTS FOR ACADEMIC JOURNALS
3.19.5 PATENT AND REGISTRATIONABLE INTELLECTUAL PROPERTY
3.19.5.1 GENERAL PROVISIONS
3.19.5.2 PATENTABLE INVENTIONS
3.19.5.2.1 DISCLOSURE
3.19.5.2.2 ASSIGNMENT/SHARING OF REVENUES
3.19.5.3 SOFTWARE
3.19.5.4 OTHER INTELLECTUAL PROPERTY
3.19.6 STUDENT'S ACADEMIC CREATIONS
3.20 I R B POLICY - HUMAN SUBJECTS RESEARCH
POLICY (6/22/06 added as wording to faculty handbook; appropriate links can be
found on the Faculty Resources Webpage)
3.21 DISTANCE
LEARNING POLICY
3.22 EXTERNALLY
FUNDED GRANTS POLICY
3.23 EXTERNALLY
FUNDED CONTRACTS POLICY
3.0 FACULTY
PERSONNEL POLICIES
3.1 DEFINITION
OF FACULTY There are
three designations within the General Faculty: Teaching Faculty, Administrative
Faculty, and Librarians.
3.1.1 Teaching
Faculty The College
recognizes three categories of teaching faculty:
3.1.1.1
Full-Time A full-time
faculty member normally teaches twelve credit hours, or the equivalent, in each
of two academic semesters, or twenty-four total credit hours in the academic
year. To be considered a full-time faculty member, an individual must be
employed full-time at the College and teach at least twelve credit hours per
academic year.
Except as specified
elsewhere in this Handbook or in individual contracts of employment, a
full-time faculty member is entitled to:
Listing
in the College's Catalogue.
Participation
in convocation, commencement, and other College ceremonies.
Attendance
and voting privileges at faculty meetings.
Membership
on committees.
Benefit
of other provisions of Chapter III, among them notice, reappointment
procedures, promotion and tenure consideration where applicable, evaluation,
request for sabbatical or other leave of absence, and grievance.
Compensation
and benefits as indicated elsewhere in this chapter.
3.1.1.2 Regular
Part-Time A regular
part-time faculty member teaches more than twelve, but fewer than twenty-four,
credit hours or the equivalent during a total of two semesters in a single
academic year, excluding summer teaching.
Except as specified
elsewhere in this Handbook or in individual contracts of employment, a regular part-time
faculty member is entitled to:
Listing
in the College's Catalogue.
Attendance,
but not voting privileges, at faculty meetings.
Performance
of such school duties as assigned.
Evaluation.
Compensation
and benefits as indicated elsewhere in this chapter.
Participation
in convocation, commencement, and other College ceremonies.
A regular part-time
faculty member is not entitled to:
1. Membership on
committees.
2. Benefit of other
provisions in this chapter, among them notice, reappointment procedures,
promotion where applicable, request for sabbatical or other leave of absence,
and grievance.
NOTE: This
provision does not apply to faculty members who have taught full-time for at
least ten years and who have moved to regular part-time status. They retain the
same rights listed in 3.1.1.1 above, including tenure where applicable.
3. Tenure
3.1.1.3 Adjunct An adjunct faculty member is hired to
teach one or two courses per semester or perform some other instructional
activity. He or she is assigned a faculty rank by the Dean after consultation
with the school dean and is paid for the specific course or activity, is not
expected to attend school meetings or College faculty meetings, and does not
qualify for the benefits listed in 3.1.1.1 and 3.1.1.2 above.
3.1.1.4 Graduate Each faculty member teaching courses at
the master's degree level must hold the terminal degree, usually the earned
doctorate, in the teaching discipline or a related discipline. In unusual cases,
individuals without the required academic credentials with exceptional
professional, scholarly and/or creative expertise may serve as graduate
faculty.
The Vice President
and Dean for Academic Affairs will collect and file supporting documentation of
academic preparation, including official transcripts, official documentation of
professional and work experience, technical and performance competency, records
of publications, certifications and other qualifications.
3.1.1.5 Faculty
Emerita/Emeritus The Vice
President and Dean for Academic Affairs, upon receipt of a faculty member's
notice of intention to retire, requests that a recommendation for designation
as emerita/emeritus be forwarded from the School Dean to the Faculty Personnel
Committee, and then to the General Faculty for its recommendation to the
President and the Board of Trustees.
Consideration is
limited to those faculty with a long (ordinarily not fewer than ten years) and
distinguished service who will be ending a regular appointment at the College.
The public designation of emerita/emeritus status is included with the
College's recognition of retirement.
Privileges of
emeritus faculty include office and mail space when available and
participation, as feasible, in academic ceremonies, including processions at
convocations and commencement exercises.
3.1.2
Administrative Faculty
Administrative Faculty include the President of the College, the Vice President
and Dean for Academic Affairs, the Associate Dean for Academic Affairs, the
Vice President and Dean for Student Development, and other administrators who,
because of experience or qualifications, may be granted faculty status at the
time of appointment. Administrative Faculty have rank only if they hold rank in
a school. Administrative Faculty do not follow the procedures of Teaching
Faculty for evaluation and promotion, tenure, sabbatical leaves, and vacation
time.
3.1.3 Librarians Members of the Library staff who are
appointed to librarian positions holds faculty appointments and qualify for the
provisions for general faculty. The rights, benefits, and responsibilities of
faculty members are determined by the category of appointment. Provisions and
policies for librarians which differ from Teaching Faculty have been published
in this chapter.
3.1.3.1
Categories of Librarians
3.1.3.1.1
Full-Time A full-time
librarian is employed by the College on a regular basis for at least 1950 hours
per year. Except as specified elsewhere in this Handbook or in individual
contracts of employment, a full-time librarian is entitled to:
Listing
in the College's Catalogue.
Participation
in convocation, commencement, and other College ceremonies.
Attendance
and voting privileges at faculty meetings.
Membership
on committees.
General
Faculty provisions of Chapter III.
Compensation
and benefits as indicated elsewhere in this chapter.
3.1.3.1.2
Regular Part-Time A
regular part-time librarian is employed by the College on a regular basis, less
than full-time personnel but at least 1000 hours per year. Except as specified
elsewhere in this Handbook or in individual contracts of employment, a regular
part-time librarian is entitled to:
Listing
in the College's Catalogue.
Attendance,
but not voting privileges, at faculty meetings.
Evaluation.
Compensation
and benefits as indicated elsewhere in this chapter except as provided by an
individual contract.
Participation
in convocation, commencement, and other College ceremonies.
A regular part-time
librarian is not entitled to membership on faculty committees.
3.1.3.1.3
Part-Time A part-time
librarian is employed less than 1000 hours per year. He or she is assigned a
faculty rank by the Vice President and Dean for Academic Affairs after
consultation with the Director of the Library, is not expected to attend College
faculty meetings, and does not qualify for the benefits listed above.
3.1.3.1.4
Librarian Emerita/Emeritus
The Vice President and Dean for Academic Affairs, upon receipt of a full-time
librarian's notice of intention to retire, requests that a recommendation for
designation as emerita/emeritus be forwarded from the Director of the Library
to the Faculty Personnel Committee, and then to the general faculty for its
recommendation to the President and the Board of Trustees.
Consideration is
limited to those librarians with a long (ordinarily not fewer than ten years)
and distinguished service who will be ending a regular appointment at the
College. The public designation of emerita/emeritus status is included with the
College's recognition of retirement.
Privileges of
emeritus librarians include participation, as feasible, in academic ceremonies,
including processions at convocations and commencement exercises.
3.1.3.2
Categories of Rank for Professional Librarians The College recognizes four categories of
academic rank for librarians: instructor librarian, assistant librarian,
associate librarian, and librarian. A master's degree is the appropriate
terminal professional degree for academic librarians. Detailed definitions of
professional qualifications can be found in the latest edition of Academic
Status, published by the Association of College and Research Libraries. The
eligibility criteria are:
3.1.3.2.1
Instructor Librarian A
librarian holding the rank of instructor shall have at least a master's degree
in library science and show promise of intellectual growth and excellence in
librarianship with the expectation of successful overall performance.
3.1.3.2.2
Assistant Librarian A
librarian holding the rank of assistant librarian shall have at least a master's
degree in library science and a minimum of three years of professional
experience. Promotion to this rank shall require evidence of outstanding
position effectiveness and significant professional contributions to the
library and/or to the College through participation in continuing
education/workshop activities and professional societies.
3.1.3.2.3
Associate Librarian A
librarian holding the rank of associate librarian shall have at least a
master's degree in library science and a minimum of four years of service at
the rank of assistant librarian. Promotion to this rank shall require evidence
of outstanding position effectiveness and substantial professional
contributions to the library and to the College as well as other professional
endeavors.
3.1.3.2.4
Librarian A librarian
holding the rank of librarian shall have at least a master's degree in library
science and a minimum of twelve years of professional experience, of which
three must be at
3.1.3.3
Evaluation of Librarians
Librarians will be evaluated at least once a year in a formal session involving
the librarian and the Director of the Library. The Director will be evaluated
by the Vice President and Dean for Academic Affairs. Librarians will be
evaluated on their effectiveness in their areas of responsibility. Performance
evaluations are undertaken with the following objectives:
To
provide an opportunity to discuss achievements, improvements, problems,
objectives, and individual goals, as well as college goals.
To
identify development needs.
To
identify individuals who are qualified to assume additional responsibilities.
To
provide a consistent and equitable framework for determining merit-based salary
adjustments.
To
enhance the working relationship between the supervisor and the librarian.
3.1.3.4
Procedures for Promotion for Librarians
3.1.3.4.1
Candidacy for Promotion for Librarians Librarians may be candidates for promotion at their option by
following the procedures listed below.
3.1.3.4.2
Criteria for Promotion
Librarians must perform at a high professional level in areas which contribute
to the educational and research mission of the institution. Evidence for
promotion to each rank, which shall be included in the annual report, will
include contributions in the following areas:
1. Position
effectiveness/contributions to the educational function of the College: for
example, reference service; collection development; bibliographic organization
and control; teaching, not necessarily in a classroom situation; demonstrating
self mastery of new library related technologies and resources; providing
in-house training in library related technology.
2. Service to the
College/service to the profession: for example, service on College committees
or task forces; involvement in campus activities; involvement in the continuing
effort to improve the quality of life at the College; organization of workshops,
institutes or similar meetings.
3. Effectiveness as
a Professional: for example, active participation in professional and learned
societies; public appearances in the interest of librarianship or information
transfer; the recipient of professional awards; attendance at workshops, or
conferences; publications, such as in professional and scholarly journals;
presentation of papers; reviews of books and other literature; grants;
consulting; service as a member of a team of experts task force, review committee
or similar body.
3.1.3.4.3
Primary Persons Involved
The primary persons involved in a review for promotion are: the candidate, the
Ad Hoc Committee, the Library Director, the Vice President and Dean for Academic
Affairs, the President, and the Board of Trustees.
3.1.3.4.4 The
Candidate The candidate
will provide documentation in support of promotion to the Ad Hoc Committee.
Documentation may include: a current vitae; evaluations and/or unsolicited
letters from his/her supervisor, colleagues and students if appropriate; annual
reports; literature guides or guides to specific resources; copies of
publications and/or reviews; and records of committee activity.
3.1.3.4.5 The Ad
Hoc Committee The Ad Hoc
Committee will write an evaluation report and recommendation on the candidate
based on documentation submitted by the candidate. At the option of the
candidate, the Committee may also solicit letters of recommendation from the
candidate's colleagues. These letters would be confidential to the Committee,
the Library Director, and the Vice President and Dean for Academic Affairs.
1. The Ad Hoc
Committee is chosen by the Library Director in consultation with the candidate
and will be made up of three colleagues from the general faculty, at least one
who is senior in the rank to the candidate and at least one of whom will be a
member of the Library faculty. If the candidate is the Library Director, the Ad
Hoc Committee will be chosen by the Vice President and Dean for Academic
Affairs in consultation with the candidate. The Director and Dean will not
serve on the Ad Hoc Committee.
2. The Ad Hoc
Committee sends its report and the candidate's documentation to the Library
Director. If the candidate is the Library Director, the report shall be sent to
the Vice President and Dean for Academic Affairs.
3.1.3.4.6 The
Library Director The
Library Director will conduct an independent study of the candidate's
documentation, consult with other librarians on the Library staff, and conduct
interviews and observations as deemed appropriate.
1. The Library
Director will receive the recommendations of the Ad Hoc Committee, will make
his/her decision, and so notify the Committee and the candidate.
2. The Library
Director sends the candidate a copy of his/her recommendation and a copy of the
Ad Hoc Committee's recommendation. If one or both recommendations do not
support promotion, the candidate has the option of withdrawing the application.
3. The candidate
notifies the Library Director of his/her decision to continue the promotion
procedure or to withdraw the application.
4. If the
candidate's decision is to continue the process, the Library Director submits
his/her recommendation, the Committee's recommendation, and the candidate's
documentation to the Vice President and Dean for Academic Affairs.
5. If the candidate
is the Library Director, the Vice President and Dean for Academic Affairs will
follow the steps listed above.
6. The Library
Director or the Vice President and Dean for Academic Affairs has no obligation
to accept petitions for promotion after February 1.
3.1.3.4.7 The
Vice President and Dean for Academic Affairs Prior to forwarding a recommendation to the President, the
Vice President and Dean for Academic Affairs shall share, in a timely manner, a
draft copy of the recommendation with the candidate and shall invite the
candidate to raise questions or offer additional information. If the candidate
believes a request has been wrongfully denied, the candidate may consult with the
Dean and the President. A copy of the final recommendation letter will also be
sent to the candidate.
3.1.3.4.8 The
President The President
reviews the recommendations of the Ad Hoc Committee, the Library Director, and
the Vice President and Dean for Academic Affairs, plus materials submitted by
the candidate and gathered by the review process. The President makes a
recommendation to the Board of Trustees, which has the final authority over
decisions of promotion.
3.1.3.5
Grievance Procedures for Librarians Any librarian having a grievance relating to the infringement of
academic freedom shall follow faculty grievance procedures. For personnel
grievances, librarians shall follow the staff grievance procedures as described
in the Staff Handbook.
3.1.3.6 Vacations
for Librarians Full-time
librarians are eligible for fifteen vacation days per year. Regular part-time
librarians are eligible for vacation according to the same schedule as
full-time, but earned on a pro-rata basis. Librarians follow vacation policies
for exempt employees found in the Staff Handbook.
3.1.4
Miscellaneous Category
The College may, from time to time, appoint a faculty member who carries a
title different from those normally used at the College and specified in this
Handbook. Examples of such titles include Visiting Artist, Scholar in
Residence, Teacher in Residence, Lecturer or Distinguished Lecturer. Such
appointments are normally for a specified period of time and shall be governed
by the terms of the contract of employment.
3.1.5 Deans of
Schools These individuals
are entitled to the following:
1. Listing in the
College's Catalogue.
2. Participation in
convocations, graduation and other College ceremonies.
3. Attendance and
voting privileges at faculty meetings.
4. Evaluation.
5. Compensation and
benefits as indicated elsewhere in this chapter except as provided by their
individual employment contracts.
Faculty Workload
Procedures
Participation on
program, school, and institutional committees; involvement with faculty and
student organizations and their activities; student advising and
scholarly/professional activities are expectations of full-time faculty.
Regular part-time faculty have proportional workload units (WLU) in the area of
instruction and are expected to participate in program and school activities
and advise up to 10 students.
Workload Units (WLU) provide a means for equitable and
reasonable assignment of responsibilities. WLUs are calculated on the basis of
the premise that, on average, a given three-credit course demands approximately
8.25 – 9 clock hours per week, including 2.5 hours in the classroom and the
additional time for preparation, grading, and meeting with students over 15
weeks or 41-45 hours over the course of the semester. Unless otherwise
negotiated or determined by contract agreement, the following are typical
allocations in a faculty member’s annual workload plan:
24 WLU Instruction
2 – 4 WLU College
and Community Service
2 – 4 WLU Scholarly
Activities and Professional Development
28-32 WLU Annual Total
expected
Reassigned time for
special duties, extraordinary committee, organizational, or advising
obligations must be assigned by the School Dean with approval of the Vice
President and Dean for Academic Affairs. When faculty are granted reassigned time
for any purpose, this is translated into the appropriate WLU. Appropriate
compensation will be given to any full-time faculty member whose load exceeds
the standard WLU (32).
Instructional
Loads for full-time
faculty normally include “twelve credit-hours, or the equivalent, in each of
two academic semesters, or twenty-four total credit hours in the academic year”
(FH Sec 3.1.1.1). In addition, course preparations (the number of different
prepared each semester) are considered. In a given semester, preparations will
not normally exceed three preparations, will not exceed four lecture/class
preparations, nor five different course assignments.
Student loads
normally should be no more than an average of 25 per class. For example, if a
faculty member is teaching eight classes, he/she should have no more than 200
students over the course of the academic year, ideally divided somewhat evenly
over the two semesters. Faculty teaching very small, but programmatically
necessary classes, may teach more than twelve hours, provided their total
student load is still significantly less than the total load would be with
normally sized classes. Faculty teaching excessively large classes may teach
fewer than twenty-four hours as long as the total student load still exceeds the
normal total student load in those classes.
The WLU for a given
three-credit class/lecture course is three (3) WLU. Based on the definition of
WLU above, this provides 8.25 – 9 clock hours per week for the 15 week semester
(123-135) for class time, class preparation, grading, student contact, and
any other course responsibilities. Examples, though not inclusive, of other
faculty load equivalents are defined on the table that follows. School
Deans have the discretion to recognize and establish additional patterns unique
to their schools that, after approval by the Vice President and Dean for
Academic Affairs, will be added below.
|
COURSE TYPE |
|
RESPONSIBILITY |
WLU |
|
Communication Technology
Courses |
|
Per contact hour of
assigned class time |
1.3 |
|
HMSR Activity Courses |
|
1 cr 100 level HMS activity
course meet 2 hrs/wk |
1.5 |
|
Athletic Training -
Clinical Supervision |
|
Per 8 students/credit |
1 |
|
Education - student
teaching supervision |
|
Per student/semester (based
on 1.5 - 2 students/1 credit |
0.5 |
|
Nursing - Supervision of
labs & Clinicals |
|
Per contact hour of
assigned clinical/lab time/group |
1 |
|
Science Lab Supervision |
|
Per contact hour of
assigned lab time |
1 |
|
Internships, senior thesis
or research paper |
|
Per student/per credit
(based on 8 students in 3 credit Internships as equal to 3 credit class |
0.125 |
|
Site supervision of
students doing research in the lab/field or Internship site supervision |
|
Per student/per credit
(based on 8 students in 3 credit lab research projects as equal to 3
credit class) |
0.333 |
|
Music Courses |
|
1.5 hours of private music
classes |
1 |
|
Music Performance labs |
|
Per contact hours of
assigned lab time |
1 |
College and Community Service
Workload Units
College service
includes participation in faculty meetings, convocation and commencement, and a
range of activities that support the College. As indicated in
sections 3.11.5.1 & 3.11.5.2, faculty members are expected to
participate in faculty meetings and scheduled convocations, commencement,
Parent's Weekend activities, and faculty workshops. Faculty members are
also expected to participate in program and school activities, and up to 10
student advisees shall be considered part of the normal load. School
Deans strive for equity in assigning advisees. Faculty members normally
participate in 2 - 4 WLU's in the area of institutional service each academic
year as outlined below. These are indicated on the faculty workload
plan.
|
Responsibility |
|
WLU |
|
|
|
|
|
Advising up to 10 students,
considered part of normal load |
|
-NA- |
|
Advising 11 - 40 students |
|
0.5 - 2 |
|
(11-17 = .5; 18-24 = 1;
25-32 = 1.5; 33-40 = 2) |
|
|
|
Member of Committee: |
|
1.5 |
|
Faculty Steering |
|
|
|
College Planning and Resources |
|
|
|
Educational Policies |
|
|
|
General Education Oversight |
|
|
|
Faculty Policies |
|
|
|
Faculty Personnel |
|
|
|
Member of Committee: |
|
1 |
|
Learning Resources |
|
|
|
Campus Life Policies |
|
|
|
Faculty Development |
|
|
|
Enrollment Managament |
|
|
|
Institutional Effectiveness |
|
|
|
Faculty Athletics Representative |
|
|
|
Human Subject Research |
|
|
|
Human Rights Oversight |
|
|
|
Faculty Grievance |
|
|
|
Animal Care and Use |
|
|
|
Faculty Hearing panel for Human Rights |
|
|
|
Graduate Studies |
|
|
|
Chair of any Faculty
Standing Committee (in addition to member) |
|
1 |
|
Official supervision of
recognized student organization |
|
1 |
Some service is
essential to the institution but not considered as part of the WLU. For example,
service on ad hoc committees or task forces, on faculty searches, and some
other roles do not typically carry faculty load. WLUs may be assigned for these
types of activities upon the advice and recommendation of the School Dean. But,
in most instances, such work is reported in the annual report. A faculty member
shall not normally serve on more than one faculty search committee in any given
year.
If additional
compensation is provided for an assigned responsibility, this assigned responsibility
is not counted as part of the workload. Faculty, who serve as freshman
advisers, are compensated separately for this responsibility when the normal
WLU for the instructor is exceeded.
Faculty members are
also encouraged to participate in community service activities that involve
students, including those sponsored by the College and those sponsored by
outside organizations (Faculty Handbook sec., 3.11.6).
Workload Units
for Scholarly Activities and Professional Development
Faculty are expected
to participate in professional and scholarly activities and these may take a
variety of forms (Faculty Handbook sec., 3.11.4). Faculty specify 2 – 4 WLUs
for scholarly activities and professional development based on an approximation
of time involved. (1 WLU is equal to approximate 2.75 – 3 clock hours for 15
weeks for 41 – 45 hours over the course of a semester). Since there is an
institutional understanding that faculty teaching graduate courses will be
productive in the area of scholarly activities, they are encouraged to work
with School Deans to incorporate higher workload units in this area.
Workload units for
scholarly activities and professional development are indicated on the faculty
workload plan and accomplishments detailed in the reflective narrative.
Adjustment and
Assessment of Procedure
As indicated under
the instructional workload units, School Deans have the discretion to recognize
and establish additional patterns unique to their schools that, after approval by
the Vice President and Dean for Academic Affairs, will be added to this
procedure. The procedure will be fully reviewed after two years of
implementation (2005-2006). (Approved by FPC for the faculty 8/4/03)
3.2 FACULTY RANK
AND INITIAL APPOINTMENT
3.2 FACULTY RANK
(revised
7/18/2007)
3.2.1 Categories
of Rank The College
recognizes four categories of academic rank: instructor, Assistant Professor,
Associate Professor, and Professor, as defined below. To be eligible for
promotion, the faculty member must have a minimum teaching load of 12 hours or
the equivalent per academic year and must be employed full-time by the College.
(See Section 3.1.1.1 for description of teaching load; see Section 3.7
for promotion criteria.) Normally, candidates are eligible to apply for
promotion only after the completion of the requisite minimum number of years at
the previous rank.
3.2.1.1 Instructor. A faculty member
applying for appointment to the rank of instructor shall normally have at least
a master's degree or the equivalent in professional preparation, and shall show
promise of continued growth in the areas of teaching, scholarship and
professional activity, and service.
3.2.1.2 Assistant Professor. A faculty
member applying for appointment to the rank of Assistant Professor shall
normally have the doctorate or standard terminal degree in the discipline, and
show promise of making significant teaching, scholarly and
professional, and service-related contributions. Application for
appointment or promotion to the rank of Assistant Professor without the
doctorate or standard terminal degree in the discipline shall normally require
a master’s degree and a minimum of three years of full-time teaching and
significant professional productivity in the discipline. Full-time, renewable-contract faculty members
are eligible to apply for promotion to Assistant Professor provided that they
meet the same promotion criteria as tenure-track faculty members. (See 3.7.2.3)
3.2.1.3 Associate Professor. A faculty
member applying for appointment to the rank of Associate Professor shall
normally have (a) the doctorate or standard terminal degree in the discipline;
(b) completed a minimum of five years of full-time service at the rank of
Assistant Professor, of which four must be at Lynchburg College (see 3.4.2.8
for exceptions at effective contract date of initial hire); and (c) a history
of significant teaching, scholarly and professional, and
service-related contributions. Faculty members on tenure-track must be
requesting tenure to be eligible for promotion to Associate Professor.
Without the
doctorate or standard terminal degree for the discipline, application for
promotion to the rank of Associate Professor shall normally require a (a)
minimum of eight years of full-time service at the rank of Assistant Professor,
of which six must be at
Full-time,
renewable-contract faculty members are eligible to apply for promotion to
Associate Professor provided that they meet the same promotion criteria as
tenure-track faculty members. (See 3.7.2.3)
3.2.1.4 Professor. A faculty member
applying for promotion to the rank of Professor shall normally have (a) the
doctorate or standard terminal degree in the discipline; (b) completed a
minimum of six full-time years of teaching at the rank of Associate Professor,
of which three must be at Lynchburg College (see 3.4.2.8 for exceptions at
effective contract date of initial hire); and (c) history of continued and
expanded teaching, scholarly and professional, and service-related
contributions beyond the Associate Professor level. Faculty members hired at
the Associate level, and on a tenure track, must be requesting tenure to be
eligible for promotion to Professor. Without the doctorate or standard terminal
degree for the discipline, the person whose original contract takes effect
after June 30, 2005 is not normally eligible for promotion to the rank of
Professor. Faculty members whose original contracts took effect prior to June
30, 2005 may apply for promotion under the terms and conditions specified in
the prior Faculty Handbook.
Full-time,
renewable-contract faculty members are eligible for promotion to Professor
provided that they hold a doctorate or standard terminal degree for the
discipline and meet the same promotion criteria as tenure-track faculty
members. (See 3.7.2.3)
3.3 TYPES OF
APPOINTMENTS (revised
12/18/02)
3.3.1
After the
expiration of a probationary period, faculty members should have permanent or
continuous tenure, and their service should be terminated only for adequate
cause or under extraordinary circumstances because of financial exigencies.
In the
interpretation of this policy, it is understood that the following represents
acceptable academic practice:
1. The precise
terms and conditions of every appointment should be stated in writing and be in
the possession of both institution and faculty member before the appointment is
consummated.
2. Beginning with
appointment to the rank of full-time instructor or a higher rank, the
probationary period should not typically exceed seven years, including within
this period full-time service in all institutions of higher education; but
subject to the proviso that when, after a term of probationary service of more
than three years in one or more institutions, a faculty member is called to
another institution it may be agreed in writing that this new appointment is
for a probationary period of not more than four years, even though thereby the
person's total probationary period in the academic profession is extended
beyond the normal maximum of seven years. Notice should be given at least one
year prior to the expiration of the probationary period if the teacher is not to
be continued in service after the expiration of that period.
3. The probationary
period may be extended beyond that which is in their initial contract if the
faculty member applies for an extension due to childbirth, adoption, or other
reasons. Requests for the extension of the probationary period can be submitted
in writing by the faculty member directly to the School Dean to be advanced to
the Vice President and Dean for Academic Affairs. For extensions with respect
to childbirth or adoption the request should be submitted within one year of
the birth or adoption. Approval of the request for an extension of one year is
presumed. The Vice President and Dean for Academic Affairs shall notify the
faculty member and the School Dean of the action taken. The request for
extension of the probationary period should contain the following
correspondence:
The probationary
period may be extended up to two times (accounting for two possible years of
extension).
3.3.2 Temporary
Appointments After
consultation with the School Dean, the Vice President and Dean for Academic
Affairs may recommend to the President that an individual receive a full-time
appointment for a specific period of time (normally one or two years), at the
end of which the individual shall not expect to be continued at the College.
The appointment letter shall state the period of the appointment and shall make
explicit that the position is not tenure-track.
1. Temporary
appointments may be made to meet short-term enrollment needs, to replace
persons on sabbatical leave, to fill unforeseen school openings, and to meet
various other institutional needs.
2. Temporary
appointments may be renewed, but in no case may an individual hold a temporary
appointment at
3. After
consultation with the School Dean, and provided that the original appointment
included a search, the Vice President and Dean for Academic Affairs may request
the President and Board of Trustees that a temporary appointment be converted
to a tenure-track appointment.
4. If temporary
appointment is converted to a tenure-track appointment, the faculty member must
receive tenure consideration during his or her sixth year of full-time
employment at the College.
3.3.3 Non-Tenure
Track Appointments (Clinical - Coaching-Track) After consultation with the School Dean,
the Vice President and Dean for Academic Affairs may recommend to the President
that an individual receive a full-time faculty appointment that involves
significant clinical or coaching responsibility. Such clinical- or
coaching-track appointments may be made to meet special needs of the
school/College and are separate from both tenure and other non-tenure track
appointments. Such appointments normally are made at either the Instructor or
Assistant Professor level. The appointment letter shall state the period of the
initial appointment and the terms for renewal of appointment.
1. Initial
appointment may be for one or for two years and appointment is renewable for
one, two, or three-year periods.
2. Termination may
occur after the initial period of employment, according to terms given in
writing upon employment, and requires no other notification of termination.
Termination may also occur following the final year of any renewed appointment.
Notice of this termination must be given no later than December 15 of the final
year of the contract.
3. After consultation
with the School Dean, the Vice President and Dean for Academic Affairs may
convert a clinical- or coaching-track appointment to a tenure-track position,
with the current holder of the appointment eligible, ordinarily among others,
for consideration for the converted position.
4. If a clinical-
or coaching-track appointment is converted to a tenure-track appointment, the
faculty member must receive tenure consideration in no more than four years
after appointment to the tenure-track position, unless that would require
tenure consideration in fewer than six years total.
3.3.4 Contract
Letter For each person
employed as a full-time, regular part-time, or adjunct member of the faculty,
two originals of the contract are prepared and signed by the President of the
College or other designated officer of the College. Both are sent to the
appointee who signs and returns one to the College. Copies of the signed
contract are sent to the Vice President and Dean for Academic Affairs, the
Human Resource Office, and the Business Office as authorization for placing the
person on the payroll.
3.4 ACADEMIC
SEARCH PROCESS (revised
12/12/01)
3.4.1 Criteria General criteria for all
faculty appointments include the following: evidence of scholarly preparation
including the terminal degree (or normally accepted equivalent), teaching and
advising competency, commitment to the purposes of Lynchburg College, sincere
interest in active participation in the campus community, and personal
integrity.
A faculty member’s
highest earned degree presented as the credential qualifying the faculty member
to teach at the institution must be from a regionally accredited institution.
Individuals making application whose terminal degrees are from non
NOTE: Records of
all appointments, whether full or part-time, including all candidate materials
and notes, must be forwarded by the school dean to the Human Resource Office.
3.4.1.1 -
Faculty Compliance with Immigration Laws - Lynchburg College faculty and prospective faculty to whom
offers of employment have been made, are responsible for securing and
maintaining compliance with all applicable federal and state immigration laws.
The faculty member of prospective faculty member must be in compliance with
federal and state law governing their legal capacity to teach in the
3.4.2 Full-Time
Faculty Appointments and Appointment of Professional Librarians
3.4.2.1 Vacancy When there is a vacancy, the position may
be continued, reallocated, or redefined, as determined by current and
foreseeable institutional priorities. Positions shall be reviewed under the
direction of the Vice President and Dean for Academic Affairs. When a vacancy
occurs or is anticipated, or a new position proposed, the school dean shall
provide a written rationale outlining the reasons for the position as defined
or redefined in the context of institutional and school mission, current and
projected enrollments, concern for quality, comparative advantages, and other
priorities identified in the planning process. The resulting advisory
recommendation shall be forwarded to the President for final approval. Should a
vacancy occur with limited notice, every reasonable effort will be made to
follow the outlined procedure
3.4.2.2 Search
Committee Selection The
school to which a position is allocated shall form a Search Committee
consisting of the school dean, at least two other persons from the academic
area and one person from the faculty-at-large.
3.4.2.3
Advertisement of Position
The Search Committee shall prepare a position description, clearly setting
forth the term (tenure-track/non-tenure track) of the position and specific
qualifications and requirements for the position for approval by the Vice
President and Dean for Academic Affairs. References to potential for graduate
teaching, involvement in LCSR and the College commitment to the use of
information technology should be included where applicable. Appropriate
announcement or advertisement of the position should come from the Human
Resource Office following approval of the Vice President and Dean for Academic
Affairs. Such advertisement should request a letter of application; names,
addresses and telephone numbers for at least three references; and a current
curriculum vitae. The Search Committee shall contact other universities,
colleges, and appropriate colleagues to request names and nominations for
possible candidates. Efforts shall be made to encourage applications from
minority and female candidates.
3.4.2.4
Guidelines The Search
Committee shall meet with the Director of Personnel to review published
guidelines of selection, interviewing, and hiring as these are related to legal
requirements for the selection process.
3.4.2.5 Review
Candidates with Dean
After preliminary screening, the chairperson of the Search Committee shall
review the files of the best qualified (6-10) candidates with the Vice
President and Dean for Academic Affairs. They will consult about any need for
preliminary off-campus interviews at professional meetings or other convenient
locations. Telephone inquiries about the candidates and to the candidates
should be preliminary to personal interviews.
3.4.2.6 Number
of Candidates A maximum
of three candidates should normally be selected for on-campus interviews. Such
candidates shall be requested to have an official transcript or transcripts
sent to the Vice President and Dean for Academic Affairs prior to the campus
visit.
3.4.2.7
Interviews A set of
details for the search process will be distributed by the Vice President and
Dean for Academic Affairs and Personnel offices prior to the beginning of the
search. It is the responsibility of the chairperson of the Search Committee to
make arrangements for interviews. Interviews of the candidates shall be
conducted by the school dean, other members of the school, other faculty as
appropriate, the Director of Personnel, the Vice President and Dean for
Academic Affairs. Newer faculty members should be encouraged to sit on search
committees. Students should be invited to formal or informal presentations or
discussions.
Search Committees
should follow these guidelines for on campus interviews:
1. All references
should be contacted prior to campus visits. In order to gain multiple
perspectives, reference checks should be made by many members of the search
committee.
2. Interviews and
opportunities to meet with all search committee members and all members of the
host program.
3. All faculty
colleagues (including those at large) who are asked to meet with candidates should
have prior access to the candidate’s resume.
4. Search
committees must ensure that every potential faculty member is proficient in
oral and written communication in the language in which assigned courses will
be taught.
5. All candidates
should provide written samples of scholarly work or publications prior to any
on campus interview.
6. All candidates
should give a lecture to a class, appropriate to the candidate’s position, to
which students and faculty should attend.
7. All candidates
should have appropriate materials about LC sufficient to engage actively with
appropriate questions and should leave with enough information about the
position to make an informed decision should an offer be forthcoming.
An initial and exit
interview will be held with the school dean. A formal interview will be
arranged with the Vice President and Dean for Academic Affairs.
3.4.2.8
Recommendation for Appointment The recommendation of the Search Committee, including advice as
to the length and rank of the appointment, shall be forwarded to the Vice
President and Dean for Academic Affairs. The Dean shall be responsible for
making the appointment, setting the salary, and concluding the
appointment procedures. The Dean shall provide details of the appointment to
the school dean. Full-time faculty appointments are confirmed by the Board of
Trustees.
3.4.3 Regular
Part-Time Faculty Appointments
3.4.3.1
Allocation of Position The
allocation of all regular part-time positions shall be made by the Vice President
and Dean for Academic Affairs and the School Dean involved.
3.4.3.2 Search
Committee Selection An
appropriate Search Committee shall be determined by the Vice President and Dean
for Academic Affairs and the School Dean involved and formed within the school
following the allocation of the part-time position.
3.4.3.3
Advertisement of Position An
appropriate announcement of the position shall be made by the Vice President
and Dean for Academic Affairs and the Search Committee. The Search Committee may
also contact appropriate colleagues to request the names of possible
candidates. In few cases shall the search be as extensive as that for a regular
full-time position, but should include, at the very least, an internal posting
of the position by the Human Resource Office including the specific
qualifications expected of applicants.
3.4.3.4
Guidelines The Search
Committee shall meet with the Director of Personnel to review published
guidelines for the processes of selection, interviewing, and hiring as these
are related to legal requirements for the selection process.
3.4.3.5 Review
Credentials with Dean Following
a preliminary screening of all candidates, the chairperson of the Search
Committee and the Vice President and Dean for Academic Affairs shall review the
qualifications for the top three candidates and determine which to invite to
campus for interviews. In all cases qualifications for part-time faculty must
meet the same standard as for full-time faculty.
3.4.3.6
Interviews Interviews
shall be conducted by the Search Committee, the Vice President and Dean for
Academic Affairs, and others deemed appropriate by the Search Committee and the
Vice President and Dean for Academic Affairs. All efforts will be made to
follow the interview guidelines set forth in 3.4.2.7 above.
3.4.3.7
Recommendation for Appointment Recommendations of the Search Committee shall be forwarded to the
Vice President and Dean for Academic Affairs, who will make an offer of
appointment, contingent upon adequate enrollment.
3.4.4 Adjunct
Faculty Appointments
3.4.4.1
Allocation of Position The
allocation of adjunct positions shall be made by the Vice President and Dean
for Academic Affairs.
3.4.4.2
Qualifications/Guidelines School Deans shall limit requests for adjuncts to those courses
essential to the curriculum and for which a minimum enrollment of eight
students is normally expected. (Exceptions may be allowed for certain clinical
and supervisory responsibilities.) In all cases qualifications for adjunct
faculty should meet the same standard as for full-time and regular part-time
faculty. Specific written qualifications for instructors for each individual
course shall be required for adjunct appointments.
3.4.4.3
Recommendation for Appointment The School Dean is responsible for recommending candidates to the
Vice President and Dean for Academic Affairs who issues the letter of
appointment. Offers to adjuncts are contingent upon adequate enrollment as
already noted above. No adjunct shall be listed on the course offering list
without written approval from the Office of the Vice President and Dean for
Academic Affairs. Adjunct faculty must submit an updated resume to the Vice
President and Dean for Academic Affair’s Office before a contract letter will
be issued.
3.4.5
Nondiscrimination It is
the policy of
3.5 PERSONNEL
FILE
1. A faculty member's
file is held in the Office of the Vice President and Dean for Academic Affairs,
as supplemented by records also held in the College's Human Resource Office.
2. A faculty member
may examine his or her personnel file, excluding confidential recommendations
or records to which the faculty member has relinquished access, upon
appointment with the Vice President and Dean for Academic Affairs and/or the
Personnel Manager and may have copies made of items in the file. He or she may
also request that items relevant to the employment relationship be placed in
the file.
3. A faculty
member's reflective narrative is considered part of the Personnel File. It is
used for a personnel action (reappointment, promotion, tenure, periodic review)
or for other considerations such as salary recommendations or candidacy for an
award. The reflective narrative is returned to the faculty member following its
review.
3.6 EVALUATION (revised 09/2003) (revised 07/17/2007)
3.6.1. Rationale
for Evaluation The
necessity for regular faculty evaluation arises from the need of individual
faculty to have information necessary for professional development and the need
of the faculty and administration to ensure quality instruction and the
improvement of the College's programs.
3.6.1.1 Decision-Making
The evaluation process
provides data for decision-making involving reappointment, promotion, tenure,
periodic review, and annual salary adjustments based on performance.
Reappointment decisions and decisions regarding annual salary adjustments based
on performance are made by the President, taking into account recommendations
from the Vice President and Dean for Academic Affairs following the procedures
outlined below. Promotion and tenure decisions are made by the Board taking
into account recommendations from the President.
3.6.2 The
Standards of Evaluation
Faculty members will be evaluated on their effectiveness in their areas of
responsibility--teaching, including advising; scholarship; citizenship; and,
where applicable, released-time activities. The greatest weight will be given
to the faculty member's primary function, which in most cases is teaching.
3.6.2.1
Effectiveness as a Teacher
What Good Teaching Means Before we can measure teaching effectiveness, we must
define it. Although good teaching is not easily defined and the principles
might vary somewhat from one discipline to another, for our purposes we are
agreeing that in general terms an effective teacher:
Excellent teachers:
3.6.2.2
Effectiveness as a Scholar and as a Professional For our purposes effective scholarship
and professionalism suggests the following:
1. Continued formal
study.
2. Professional authorship.
3. Productive research.
4. Development of new course materials, etc.
5. Participation in professional organizations.
6. Attendance at workshops, summer institutes, etc.
7. Professional recognition and honors.
8. Appropriate consulting activities.
9. Recitals, performances, and shows, where appropriate.
10. Maintenance of clinical skills, where appropriate.
11. Other appropriate indicators.
3.6.2.3
Effectiveness as a Colleague and Citizen For our purposes, good citizenship is indicated by the following:
1. Faculty
committee work.
2. School duties.
3. Involvement in student concerns and activities.
4. Informal relationships with faculty and students.
5. Involvement in the continuing effort to improve the quality of life at the
College
6. Involvement and interest in campus activities.
7. Community and public service.
8. Other appropriate indicators (phonathon service, grant proposal writing,
etc.)
3.6.2.4
Effectiveness in Released-Time Activities Certain faculty members receive released time from
teaching for the performance of other duties (serving as dean of a school,
coaching, counseling, directing choirs, producing plays, etc.). These faculty
members will work with their School Deans, or appropriate administrators to
develop descriptions and objectives for their released-time responsibilities.
Reports reflecting effectiveness in these activities are appropriate for annual
review.
3.6.3 The
Sources of Evaluation
3.6.3.1 Workload
Form and Reflective Narrative The Workload Form is designed to measure the nature and quantity
of work planned and accomplished during an academic year. The Reflective
Narrative, prepared prior to graduation each spring, is intended to encourage a
conscious self-reflection on the activities of the year ending. In the
narrative, the faculty member should compare his or her plans for the year with
the actual achievements of the year (commenting on the quantity of work done),
and should also reflect on the quality of these achievements. The annual
reflective narrative must contain a faculty member's updated resume. Relying on
the Faculty Handbook, Section 3.6.2—The Standards of Evaluation—each faculty
member will reflect on his or her effectiveness as a teacher, as a scholar and
professional, and as a colleague and citizen. The narrative will emphasize
teaching and will include the faculty member's self-assessment of teaching
methods, perceived strengths and weaknesses, and the relationship between the
individual's teaching goals and achievements and those of the academic program.
Each faculty member
will assess how well his or her students have met course goals and objectives.
In the reflective narrative, the faculty member will identify the methods
used to conduct this assessment and will comment on anticipated changes in the
courses to improve future learning outcomes.
A faculty member
with released-time activities should include in the reflective narrative the
objectives of those released-time activities, assessment of his or her
effectiveness in achieving those objectives, and the source of data used as
evidence of effectiveness. The narrative will be shared with the faculty
member’s school dean and, along with the Workload Form for that year, will
serve as a basis for discussion, evaluation, and recommendations to the
Vice President
and Dean for Academic Affairs regarding performance. It will be the individual
faculty member’s responsibility to maintain these records (together with
updated curriculum vitae, course syllabi, sample tests, and data about student
learning outcomes and student opinion) and make them available at the
appropriate times.
3.6.3.2
Colleague Evaluation
Colleague evaluation is based on assessment of the teacher's materials and
methods and on knowledge of the teacher's expertise in subject matter (academic
training and exposure to current scholarship). Colleagues can obtain such knowledge
through discussions with the teacher and review of the teacher's materials. It
can also be based in part on first-hand classroom observation, video-tapes of
classes, or sabbatical lectures or other professional presentations.
3.6.3.3 Student
Opinion Student opinion
data are to be gathered for formative purposes, including instructional
development and course development. Faculty shall gather student opinion data
in each class, each term using an instrument provided by the College and
approved by the Faculty Policies Committee. Faculty may use instruments of
their own choosing -- in addition to that provided by the College -- for
gathering student opinion data. Student opinion data gathered using the
College's instrument are reported after each term to the faculty member, the
appropriate School Dean, and the Vice President and Dean for Academic Affairs.
3.6.3.4
Administrative Evaluation
Administrative faculty members who are candidates for reappointment, tenure,
promotion, sabbatical leave, or a special award will be evaluated by the
candidate's supervising administrator. The administrator's written report will
be sent to the Dean's Office and, when appropriate, to the Personnel Committee.
When school deans are evaluated, a tenured professor with administrative
experience will be appointed by the Dean to review documents and submit an
evaluation independent of the ad hoc committee.
3.6.4 The
Reporting of Evaluation Data
3.6.4.1 The
documents to be prepared
by every faculty member annually are the Workload Forms and the reflective
narrative (described above under Sources of Evaluation.) All faculty members
will prepare these documents for assessment purposes and will provide them
annually to the school dean.
3.6.4.2 Special
Reports (When applicable,
due no later than August 1. Submission by June 1 is encouraged.) Faculty
members who are applying for tenure and/or promotion will prepare an expanded
form of the annual Workload Form and Reflective Narrative. It will include
Workload Forms for the past three years, together with updated curriculum
vitae, course syllabi for the past year, sample tests, and summaries of student
opinion data for at least the past three years. A partial list of other
materials which may be added to support a candidacy includes: video-tapes of
sample classes; information from colleague class visitation; opinion from
selected groups such as ACCESS students; student papers and projects; in-house
evaluations of scholarship by peer evaluators; external evaluation of
scholarship by experts in the field; and letters from chairs of committees.
Candidates for
reappointment will prepare two copies of their Special Reports and will send
one each to their school dean and the Vice President and Dean for Academic
Affairs. Candidates for tenure and/or promotion will prepare four copies of
their Special Reports and will send one each to their ad hoc committee, the
Faculty Personnel Committee, their school dean, and the Vice President and Dean
for Academic Affairs.
3.6.5 Initiation
of the Process of Evaluation
The process of
faculty evaluation is initiated by the Vice President and Dean for Academic
Affairs who will notify the entire faculty of the criteria for promotion and
tenure decisions and that the process has begun. The Vice President and Dean for
Academic Affairs will identify and notify those persons who must be reviewed
for tenure and for periodic review and will inform those faculty members
eligible for promotion about the procedures.
The Vice President
and Dean for Academic Affairs will give school deans specific instructions
about their responsibilities in the review process. The decision to make
application for promotion, sabbatical leave, or special award is the
responsibility of the candidate.
3.7
REAPPOINTMENT, PROMOTION, TENURE, PERIODIC REVIEW, AND PERFORMANCE-BASED PAY OF
TEACHING FACULTY (revised
6/01/2006) (7/18/2007)
3.7.1
Reappointment Procedures
3.7.1.1 Term of
Appointment A faculty
member who does not hold a tenured appointment is appointed for a term,
normally one or two academic years. Annually, these faculty members and all
other faculty members receive a nine month contract corresponding to the
instructional calendar (September through May), but are paid over the twelve
months of the academic year that runs from July 1 through June 30.
Faculty members
receive a nine-month contract corresponding to the instructional calendar, but
are paid over the twelve months of the academic year. Contracts and letters of
appointment clearly describe the terms and conditions of employment.
3.7.1.2 Standard
for Notice (Based upon
AAUP Statement) Notice of non-reappointment, or of intention not to recommend
reappointment to the governing board, should be given in writing in accordance
with the following standards:
1. Not later than
March 1 of the first academic year of service, if the appointment expires at
the end of that year; or, if a one-year appointment terminates during an
academic year, at least three months in advance of its termination.
2. Not later than
December 15 of the second academic year of service, if the appointment expires
at the end of that year; or, if an initial two-year academic appointment
terminates during an academic year, at least six months in advance of its
termination.
3. At least twelve
months before the expiration of an appointment after two or more years in the
institution.
3.7.1.3
Recommendation Regarding
Reappointment The School Dean shall recommend to the Vice President and Dean
for Academic Affairs, with a copy to the candidate, reappointment or
non-reappointment of faculty member based on:
1. A study of the
reflective narrative and workload forms.
2. Consultation
with the tenured members of the school.
3. Information from
students and colleagues.
3.7.1.4 Role of
the Vice President and Dean for Academic Affairs and the President
1. The Vice
President and Dean for Academic Affairs shall review the Individual Faculty
Report, other information regarding the faculty member's performance, and shall
prepare a recommendation for the President regarding reappointment or non-reappointment
of the candidate.
2. Prior to
forwarding his or her recommendation to the President, the Vice President and
Dean for Academic Affairs shall share a draft copy of the recommendation with
the candidate and shall invite the candidate to raise questions or offer
additional information.
3. The Vice
President and Dean for Academic Affairs shall then forward his or her
recommendation to the President.
4. The decision
regarding reappointment is made by the President.
3.7.1.5
Procedural Standards (Based
on AAUP 1971 Statement on Procedural Standards in the Renewal or Non-renewal of
Faculty Appointments)
3.7.1.5.1
Criteria and Notice of Standards Faculty members should be advised, early in their employment, of the
substantive and procedural standards generally employed in decisions affecting
renewal and tenure.
3.7.1.5.2
Periodic Review There
should be provision for periodic review of the faculty member's situation
during the probationary service.
3.7.1.5.3
3.7.1.5.4 Notice
of Reasons In the event
of a decision not to renew an appointment, the faculty member should be
informed of the decision in writing, and, if he or she requests, should be
advised of the reasons which contributed to that decision. The faculty member
should have the opportunity to request a reconsideration by the decision-making
body.
3.7.1.5.5
Written Reasons Faculty
members have the right to request a written statement of the reason(s) for
non-reappointment.
3.7.1.5.6
Petition for Review
Alleging an Academic Freedom Violation Insofar as the petition for review
alleges a violation of academic freedom, the functions of the committee which
reviews the faculty member's petition should be the following:
1. To determine
whether or not the notice of non-reappointment constitutes on its face a
violation of academic freedom.
2. To seek to
settle the matter by informal methods.
3. If the matter
remains unresolved, to decide whether or not the evidence submitted in support
of the petition warrants a recommendation that a formal proceeding be conducted
with the burden of proof resting upon the complaining faculty member.
3.7.1.5.7
Petition for Review Alleging
Inadequate Consideration* Insofar as the petition for review alleges inadequate
consideration, the functions of the committee which reviews the faculty
member's petition should be the following:
1. To determine
whether the decision of the appropriate faculty body was the result of adequate
consideration in terms of the relevant standards of the institution, with the
understanding that the review committee should not substitute its judgment on
the merits for that of the faculty body.
2. To request
reconsideration by the faculty body when the committee believes that adequate consideration
was not given to the faculty member's qualifications. (In such instances, the
committee should indicate the respects in which it believes the consideration
may have been inadequate.)
3. To provide
copies of its reports and recommendation to the faculty member, the faculty
body, and the president or other appropriate administrative officer.
*The term
"adequate consideration" refers essentially to procedural rather than
substantive issues: Was the decision conscientiously arrived at? Was all available
evidence bearing on the relevant performance of the candidate sought out and
considered? Was there adequate deliberation by the department over the import
of the evidence in the light of the relevant standards? Were irrelevant and
improper standards excluded from consideration?
Was the decision a
bona fide exercise of professional academic judgment? These are the kinds of
questions suggested by the standard "adequate consideration."
If in applying this
standard the review committee concludes that adequate consideration was not
given, its appropriate response should be to recommend to the department that
it assess the merits once again, this time remedying the inadequacies of its
prior consideration.
--"Statement
on Procedural Standards in the Renewal or Non-renewal of Faculty Appointments,
AAUP Bulletin, Summer, 1971, p.210
3.7.2
3.7.2 Promotion and Tenure The College
values and rewards faculty growth and development in the areas of teaching,
scholarship and professional activity, and service. Promotion and tenure are
granted in recognition of such development. The review process is designed to
ensure that a candidate is reviewed in a fair and holistic manner, taking into
account the variable and complex nature of teaching, scholarship and professional
activity, and service.
School deans are
responsible for ensuring that new faculty members are informed as to the
College standards and program criteria for promotion and/or tenure as soon as
possible after their arrival at the College. School deans will provide each new
faculty member copies, and clear explanations, of college-wide standards and
specific program criteria for promotion and, where appropriate, tenure. School
deans will also ensure that the Candidate Evaluation Committee and the Faculty Personnel
Committee have the most current version of the program criteria for promotion
and tenure. New faculty members are expected to participate in new faculty
orientation meetings, where the College tenure and promotion process is
discussed and the relationship between the College standards and program
criteria is explained.
In addition to the
general criteria listed in section 3.6.2 above, following are the tenure and
promotion criteria for specific programs and/or schools:
Business Administration
3.7.2.1 Candidacy for Promotion Promotion
expresses a college-wide recognition of the outstanding accomplishments of its
faculty. Thus, consideration for promotion focuses on the candidate’s
intellectual engagement and achievement in teaching, scholarship, professional,
and/or creative activity, service, and on the promise of continuing
contributions to the College. Promotion shall not be a function of seniority
but shall require evidence of distinction in teaching, scholarship and
professional activity, and service, as recognized internally and, where
appropriate, externally.
Faculty members may
be candidates for promotion at their option, by following the procedures listed
in Section 3.7.2 The academic credentials and expectations for each rank are
stated in Section 3.2.1 of this chapter.
3.7.2.2 Review for Promotion Faculty members will be notified by the Vice
President and Dean for Academic Affairs when they become eligible for
promotion. The faculty member has the option of seeking promotion. When
promotion is sought, the school dean will appoint a Candidate Evaluation
Committee consisting of at least one tenured member of the program faculty and
at least two other tenured members (with at least one being from outside the
school). The maximum number of faculty members serving on the Candidate
Evaluation Committee is five. The committee should be formed by September 1st.
[In cases in which the candidate is seeking tenure with promotion concurrently,
the same Candidate Evaluation Committee will serve for both tenure and
promotion reviews.]
By September 15th,
the faculty member must submit a portfolio or binder to the Candidate
Evaluation Committee. [In cases when candidates seek tenure with promotion
concurrently, the same portfolio or binder will serve for both tenure and
promotion reviews.]
The candidate’s
documentation shall contain:
By September 15th,
the school dean shall submit to the Candidate Evaluation Committee:
copies of annual
reports (consisting of annual workload plan and reflective narratives),
the school dean’s
responses to those reports,
student opinion
data and other evaluations of the applicant’s teaching, including the school
dean’s observation of classroom teaching, and
any verified and
documented anecdotal observations and reports about the candidate’s general job
performance.
By October 15th,
the Candidate Evaluation Committee will forward to the Personnel Committee
copies of (a) the candidate’s portfolio or binder (which includes documentation
provided by the school dean), and (b) the summative report from the Candidate
Evaluation Committee which includes a statement of endorsement or denial (a
copy of this report will be sent to the candidate).
By October 15th,
the school dean will consult with and poll tenured school faculty members about
the candidate’s qualifications for tenure/promotion. School deans should ensure
that, tenured faculty have confidential access to the documentation submitted
by the candidate as soon as it is submitted, at the start of the fall term.
Once done, the school dean will send to the Personnel Committee, by November
1st, (a) a summary of the candidate’s strengths and weaknesses, (b) information
gathered by the dean as a result of the consultation activities with school
faculty, (c) a statement that indicates the extent to which the school faculty
members support the candidate’s nomination, and (d) a recommendation for or
against promotion. A copy of the dean’s recommendation will be sent to the candidate.
The Personnel
Committee will study all materials submitted and will interview the candidate,
indicating in writing before the interview any specific concerns that need to
be addressed. The Personnel Committee will have access to the candidate’s
personnel file and all other materials considered at other stages of the
evaluation process (e.g., documentation and summary reports from the three year
evaluation). It also can request additional information from the school dean,
the Vice President and Dean for Academic Affairs, and the candidate. The
Personnel Committee also has the authority to call in anyone it needs for
consultation, especially in cases where there is disagreement between
parties at different stages of the evaluation process. By March 15th,
the Personnel Committee will forward to the Vice President and Dean for
Academic Affairs (a) a copy of the candidate’s portfolio, (b) the Candidate
Evaluation Committee’s report, (c) the summative report from the school dean
which includes a statement of endorsement or denial, (d) any other
documentation the Personnel Committee used to review the candidate, and (e) the
Personnel Committee’s recommendation and vote (with a copy sent to the
candidate).
Prior to forwarding
a recommendation to the President, the Vice President and Dean for Academic
Affairs shall share, in a timely manner, a draft copy of the recommendation
with the candidate and shall invite the candidate to raise questions or offer
updated information. Copies of the final recommendation letter to the President
will be sent to the candidate and the school dean in a timely manner.
The President will
forward a final recommendation to the Board of Trustees. The Vice President and
Dean for Academic Affairs will notify the candidate of the final decision by
the Board of Trustees within five working days of Board action.
In situations when
a faculty member is not promoted, he or she may re-apply for promotion through
the original review process. A period of one year from the time of Trustee action
must ensue before reapplication can occur. Reapplication documentation should
include discussions related to the concerns raised in the original decision to
deny promotion.
3.7.2.3
Candidacy for Tenure Tenure
expresses a college-wide recognition of a faculty member’s record of excellence
in teaching, established identity as a scholar, and value as a contributing
member of the campus and wider community. Normally, tenure is reserved for
faculty members holding a doctoral or standard terminal degree in their
discipline. In unusual cases, faculty members who do not hold a terminal or
standard degree in the discipline may be granted tenure on the basis of
distinguished public or private sector performance, extraordinary scholarly
accomplishments, and/or the attainment of prominence in the area in which the
candidate is teaching. Additionally, the granting of tenure represents
recognition of an established and reputable record of distinguished
accomplishments in the areas of teaching, scholarship and professional
activity, and service at
Faculty members
holding tenure-track appointments normally are candidates for tenure during
their sixth year of full-time service at
3.7.2.4 Tenure
Process. School deans
will provide the candidate with periodic feedback as well as constructive
responses to the annual report and the third-year review. The school deans will
provide candid evaluations of the quality of the candidate’s performance and
progress toward meeting requirements, and practical guidance with concrete
examples of desired outcomes.
Each faculty member
must file with his or her school dean an annual report that summarizes teaching
effectiveness, scholarship and professional activity, and service. The school
dean will respond to the annual reports from probationary faculty with a
conference and a formal letter indicating the extent to which he or she
perceives that the faculty member is progressing toward tenure. This letter
shall include the dean’s detailed judgment regarding the candidate’s progress
in teaching, scholarship and professional activity, and service. A copy of this
letter is sent to the Vice President and Dean for Academic Affairs and the
candidate.
Any party involved
in the review process that is not able to meet a specified deadline because of
extenuating circumstances shall notify the Vice President and Dean for Academic
Affairs in advance of the deadline and request a specific number of days for
extension. All parties will be notified of the granting of such requests by the
Vice President and Dean for Academic Affairs.
3.7.2.4.1 Third-
and Sixth-Year Reviews
3.7.2.4.1.1
Third-Year Review. By
September 1st of the third year of service at
By September 15th
of the third year, the candidate shall submit to the committee a portfolio or
binder that contains a comprehensive summary of his or her work to date. The
candidate’s documentation shall contain:
By September 15th
of the third year, the school dean shall submit to the Candidate Evaluation
Committee:
copies of annual reports
(consisting of annual workload plan and reflective narratives),
the school dean’s
responses to those reports,
student opinion
data and other evaluations of the applicant’s teaching, including the school
dean’s observation of classroom teaching, and
any verified and
documented anecdotal observations and reports about the candidate’s general job
performance.
Based on the
criteria for tenure and the available evidence, and on its best judgment, the
Candidate Evaluation Committee shall forward to the school dean and the
candidate a copy of the candidate’s documentation and a
statement indicating areas of strength and weakness for the candidate by
October 15th. The school dean will review the documentation and consult, if
necessary, with the candidate. By March 15th, the dean will forward
to the Vice President and Dean for Academic Affairs a recommendation that the
candidate be renewed, renewed with notice of possible deficiencies with respect
to tenure, or not renewed. The Vice President and Dean for Academic Affairs
will review the recommendation of the school dean, and will inform the
President, the school dean, and the candidate as to his or her final
recommendation.
3.7.2.4.1.2
Sixth-Year Review By September 1st of the sixth year,
the school dean will confirm membership of the Candidate Evaluation Committee.
By September 15th, the candidate shall submit to the Candidate
Evaluation Committee the original documentation from third-year review (Part 1)
plus additional documentation (Part 2) containing:
By September 15th
of the sixth year, the school dean shall submit to the Candidate
Evaluation Committee:
copies of annual
reports (consisting of annual workload plan and reflective narratives),
the school dean’s
responses to those reports,
student opinion
data and other evaluations of the applicant’s teaching, including the school
dean’s observation of classroom teaching, and
any verified and
documented anecdotal observations and reports about the candidate’s general job
performance.
By October 15th,
the Candidate Evaluation Committee will forward to the Personnel Committee
copies of (a) the candidate’s portfolio or binder (which includes documentation
provided by the school dean), and (b) the third- and sixth-year summative
reports from the Candidate Evaluation Committee which include statements of the
candidate’s strengths and weaknesses and a statement of endorsement or denial,
copies of which will be sent to the candidate.
By October 15th,
the school dean will consult with and poll tenured school faculty members about
the candidate’s qualifications for tenure/promotion. School deans should ensure
that, tenured faculty have confidential access to the documentation submitted
by the candidate as soon as it is submitted, at the start of the fall term.
Once done, the school dean will send to the Personnel Committee, by November
1st, (a) a general summary of the candidate’s strengths and weaknesses, (b) information
gathered by the dean as a result of the consultation activities with school
faculty, (c) a statement that indicates the extent to which the school faculty
members support the candidate’s nomination, and (d) a recommendation for or
against tenure. A copy of the dean’s recommendation will be sent to the
candidate.
The Personnel
Committee will study all materials submitted and will interview the candidate,
indicating in writing before the interview any specific concerns that need to
be addressed. The Personnel Committee will have access to the candidate’s
personnel file and all other materials considered at other stages of the
evaluation process (e.g., documentation and summary reports from the three year
evaluation). It also can request additional information from the school dean,
the Vice President and Dean for Academic Affairs, and the candidate. The
Personnel Committee also has the authority to call in anyone it needs for
consultation, especially in cases where there is disagreement between
parties at different stages of the evaluation process. By March 15th,
the Personnel Committee will forward to the Vice President and Dean for
Academic Affairs (a) a copy of the candidate’s portfolio, (b) the Candidate
Evaluation Committee’s report, (c) the summative report from the school dean
which includes a statement of endorsement or denial, (d) any other
documentation the Personnel Committee used to review the candidate, and
(e) the Personnel Committee’s recommendation and vote (with a copy sent
to the candidate).
Prior to forwarding
a recommendation to the President, the Vice President and Dean for Academic
Affairs shall share, in a timely manner, a draft copy of the recommendation
with the candidate and shall invite the candidate to raise questions or offer
updated information. Copies of the final recommendation letter to the President
will be sent to the candidate and the school dean in a timely manner.
The President
forwards a final recommendation to the Board of Trustees. The Vice President
and Dean for Academic Affairs will notify the candidate of the final decision
by the Board of Trustees within five working days of Board action.
At the sixth-year
review, faculty members involved in the review of the candidate will recuse
themselves from participating in summative decisions on more than one
administrative level (e.g., a faculty member who participates on both the
Candidate Evaluation Committee and the Personnel Committee). Additionally, no
candidate shall serve on a Candidate Evaluation Committee for another
candidate.
3.7.3 General
Standards for Tenure and Promotion The primary mission of
Tenure and
promotion are not granted automatically for satisfactory performance during a
given period of time. Rather, they are granted to those who demonstrate their
potential to make long-term contributions to the life of
In addition to the
general standards that apply campus-wide (see below), each program follows
criteria for scholarship and professional activity that are congruent with
criteria typically found within the discipline. While the standards and
criteria spell out the nature of expectations, all of those who work within the
process, including the school deans, the Vice President and Dean for Academic
Affairs and the Personnel Committee, must exercise independent judgment
regarding the extent to which each candidate meets or surpasses the criteria.
In applying for
reappointment, tenure, or promotion, a persuasive case must be made in each of
the following categories:
3.7.3.1 Teaching
All faculty members must demonstrate,
at the minimum, that they are highly effective teachers, able to convey
knowledge of their fields to students. While the College recognizes the
legitimacy of a wide variety of teaching methods, the candidate must be able to
organize coherent and useful courses, stimulate student thought, challenge
student assumptions, and establish a realistic but demanding set of
expectations. In order to qualify for tenure and promotion, the candidate must
demonstrate an ongoing development towards teaching excellence.
Highly effective
teachers:
Excellent teachers:
The assessment of a
candidate’s teaching will be based on multiple criteria, such as classroom
observations and other peer evaluations, the quality of course syllabi, the
development of new courses where appropriate, student opinion data from
end-of-course and end-of-program feedback (e.g., exit interviews and/or focus
groups), alumni input, and other evidence relevant to teaching performance. The
candidate must demonstrate a consistently high level of performance as a
teacher to deserve tenure and/or promotion.
The following set
of questions, refined as appropriate by each discipline, is intended to be
suggestive, but not all inclusive, of the questions to be asked and answered by
the Candidate Evaluation Committee and by the Faculty Personnel Committee as
they evaluate teaching performance. These questions are designed to ensure that
any review of a candidate should include consideration of the multifaceted and
complex context within which teaching and learning typically occur. Thus, it
will be incumbent on the candidate to provide answers in his or her portfolio
or binder to the questions below. It is also expected that many of these
questions will be considered during each faculty member’s annual review, and
especially at the third- and sixth-year review, and at later periods when
candidate is considered for promotion to Professor.
·
Does
the candidate meet basic expectations for teaching as set forth by Section
3.6.2.1?
·
What
specific challenges are posed by teaching in this particular field, or by the
specific set of courses this faculty member has taught? Should the committee
take into account particular problems posed by either in its evaluation of the
candidate’s teaching?
·
What
philosophy of teaching has the candidate expressed through the writing of
reflective narratives? Have those ideas changed? If so, how and why?
·
Does
each course have a clearly stated set of goals, consistent with the mission of
the College? Does the course require students to apply knowledge and/or skills
gained in the course? Does the course challenge and motivate students? Does the
course show evidence of integrating skills, content, and thought processes
across disciplines?
·
Is the
candidate adequately prepared to teach assigned courses? Has the candidate
participated in continuing professional development beyond his or her formal
education? Does the candidate consistently demonstrate an understanding of
historic and current scholarship and professional activity in his or her field?
·
Are
the teaching methods used appropriate for the courses taught? Has the candidate
used the results of annual assessments to modify his or her approach to the
courses taught?
·
What
are the nature and quality of expectations for student learning outside the
classroom? When appropriate, does the candidate support student-faculty
research? Independent study? Senior theses?
·
What
is the quality of the candidate’s advising, as a major adviser, and, if appropriate,
as a freshman adviser or graduate student adviser?
·
Has
the candidate participated in the intellectual life of the campus beyond his or
her discipline? Such participation manifests itself in various ways, such as
through interdisciplinary courses designed to attract persons outside the
discipline, through teaching in the Westover Honors Program, through teaching
Senior Symposium and study abroad courses. If so, what is the nature of his or
her contribution?
·
If
the candidate was hired with a specific set of responsibilities outside the
normal range of expectations (such as creating a new program or building
enrollment in an existing program), has he or she met those responsibilities?
·
Does
the candidate teach courses at the graduate level? If so, does the candidate
teach in a manner appropriate to graduate-level education?
·
Has
the candidate satisfactorily responded to suggestions made following submission
of annual reports and the third-year review?
3.7.3.2
Scholarship and Professional Activity Candidates must demonstrate scholarly achievement,
as well as ongoing intellectual activity directed toward making a contribution
to their field or toward the extension or deepening of their intellectual
competence. The College recognizes the value not only of scholarship and
professional activity in particular academic disciplines, but also of
interdisciplinary efforts and pedagogical research. Specific criteria for
scholarship and professional activity will be developed at the program level.
Candidates choosing (and approved for) scholarly activity outside of the
established program criteria will bear a larger burden of proof for the value
of such activity.
By the third-year
review, the candidate should be able to demonstrate a history of engagement in
one or more activities that contribute directly to his/her scholarly and
professional development. Such activities can focus on the candidate’s area of
particular specialization, his/her discipline, liberal education, and/or other
matters directly linked to the candidate’s work at the College. It is
also expected that the candidate is making connections with colleagues with
similar interests on the national and/or state level. By the time of tenure
and/or promotion to level of Associate Professor, it is expected that the
faculty member is actively engaged in a number of highly valued scholarly
activities that have been recognized, by program-level criteria and external
review, as noteworthy. A pattern of scholarly and professional activity, rather
than a few isolated instances, will be expected.
By the time of
promotion to Professor, it is expected that the candidate has a history of
distinguished accomplishments in the discipline. Candidates for Professor are
expected to have engaged in a variety of high-quality scholarly activities. Whatever
its nature, the candidate’s scholarship and professional activity must
represent a pattern of professional development, suggesting a habit of
intellectual and scholarly life that has continued after the awarding of tenure
and promotion to Associate Professor.
The following set
of questions, refined as appropriate by each discipline, is intended to be
suggestive, but not all inclusive, of the questions to be asked and answered by
the Candidate Evaluation Committee and by the Faculty Personnel Committee as
they evaluate scholarship and professional activity. Thus it will be incumbent
on the faculty member to provide answers in his or her portfolio or binder. It
is also expected that many of these questions will be considered during each
faculty member’s annual review, and especially at the third-year review.
·
Does
the candidate meet basic expectations for scholarship and professional activity
as set forth by Section 3.6.2.2, and the program criteria?
·
What
are the expected norms for scholarship and/or professional activity in the
discipline and against what standards are these norms evaluated? Individual
program criteria should be used to guide this discussion.
·
What
has the candidate said about his or her scholarly activity through the
submission of annual reports?
·
What
scholarship or professional activity has the candidate accomplished during the
period under review? Are such activities representative of rigor and/or highly
valued in the discipline?
·
Has
the candidate provided evidence that peers in the field have judged the work to
be of sufficiently high quality to merit publication, or to merit public
presentation, display or performance?
·
Do
the persons involved in the candidate’s review have reason to believe
that the scholarly activity reported is part of a continuing pattern of
scholarship and professional activity --habits that will continue throughout
the candidate’s professional life?
·
Has
the candidate satisfactorily responded to suggestions made following submission
of annual reports and the third-year review?
3.7.3.3 Service
Faculty members provide
powerful role models for students through teaching, through continued learning
expressed in scholarly activity, and through their participation as citizens of
the community. Thus, every faculty member must contribute to the broader life
of the College community, beyond the classroom and beyond his or her research
efforts. Since the quality of students' education depends on the College's
ability to address their individual academic needs, the College expects all
faculty members to be available and receptive to students. Faculty must be
present on campus sufficiently often for students to consult with them on a
reasonable basis. Service to the College community may be demonstrated through
(a) meaningful participation in governance, as evidenced by quality service on
College committees; (b) involvement in student activities; (c) participation on
search committees; (d) active participation in school and program activities
(e.g., program assessment and development, program coordination); or (d)
through active and effective participation in the cultural and intellectual
life of the College. Service may also include activities in the outside
community, such as serving on volunteer boards, providing non-juried
presentations such as workshops to public school systems, and speaking to civic
groups, that benefit the College or that, in the spirit of the liberal arts
tradition, enhance the quality of life in the community outside the College.
The College expects
every faculty member to adhere to professional standards in service activity,
and to demonstrate the commitment to rational dialogue that is required for
cooperative relations among colleagues and the promotion of knowledge and understanding
among students.
The following set
of questions is intended to be suggestive, but not all-inclusive, of the
questions to be asked and answered by the Candidate Evaluation Committee and by
the Faculty Personnel Committee as they evaluate service. Thus it will be
incumbent on the candidate to provide answers in his or her portfolio or
binder. It is also expected that many of these questions will be considered
during each candidate’s annual review, and especially at the third and sixth
year review, and when the candidate is seeking promotion to Professor.
Focus
Questions—College and community separate
In addition to the
preceding criteria, candidates for tenure and promotion should keep in mind the
following set of general questions, which is intended to be suggestive, but not
all-inclusive, of the questions to be asked and answered by the Candidate
Evaluation Committee and by the Faculty Personnel Committee as they evaluate
applications for promotion. Thus it will be incumbent on the faculty member to
provide answers in his or her portfolio or binder.
3.7.3.4 Access
to Grievance If a
candidate believes that there has been a violation, misinterpretation, or
misapplication of written policy leading to a denial of tenure or promotion, he
or she may employ the grievance procedures described in this chapter.
3.7.3.5 Terminal
One-Year Reappointment A
candidate who does not receive tenure shall receive a terminal appointment for
the academic year following the tenure decision. At the conclusion of that
year, his or her relationship with the College ends.
3.8 SEPARATION
FROM EMPLOYMENT AT THE COLLEGE
3.8.1 Categories
of Separation Separation from employment at the College includes:
resignation, retirement, non-reappointment or non-renewal of appointment,
layoff or reduction in force, reduction or elimination of program, and
dismissal for cause.
3.8.1.1
Resignation A faculty
member may state his or her intention to resign by giving the President a
letter or written statement of resignation, which, if accepted by the
President, is effective at a mutually agreeable time or at the end of an
academic term.
3.8.1.2
Retirement There is no
required age of retirement. The College provides counseling through the Human
Resource Office to faculty members preparing for retirement. Where adjunct
faculty or temporary faculty members are needed, the College commits to
offering these positions to retired faculty members whose qualifications are
appropriate.
3.8.1.3
Non-reappointment or Non-renewal of Appointment The conditions for non-reappointment or
non-renewal of an appointment are specified in Sec. 3.7. A faculty member who
believes he or she has been wrongfully denied reappointment or renewal of
appointment may have recourse to the Grievance Procedures specified in this
chapter.
3.8.1.4 -
Reductions in Force Under Conditions of Financial Exigency
3.8.1.4.1
Definition Financial
exigency is an imminent financial crisis which seriously jeopardizes the
ability of the College to survive as an institution of excellence in teaching,
scholarly research, and public service. Such a financial crisis will jeopardize
the ability of the College to carry out its various missions unless faculty
positions are reduced by the release of one or more tenured faculty.
Projections of enrollment, of instructional subsidies, and of other sources of
revenue must demonstrate that the shortage of funds will be both severe and
persistent and cannot be alleviated by temporary or voluntary budgetary
measures. The Board of Trustees has the authority to declare a state of
financial exigency.
3.8.1.4.2
Guiding Principles Because
of the seriousness of a condition requiring the release of tenured faculty, the
guidelines in the AAUP statement entitled "On Institutional Problems
Resulting From Financial Exigency: Some Operating Guidelines" are endorsed
and the following principles will be followed:
1. Decisions must
guard the integrity of the College (i.e. permit the College to address its
purposes effectively).
2. Individuals
affected by the decisions must be afforded fair and humane treatment.
3. Meaningful participation
in the decision-making process must be provided to those affected by the
decisions.
4. Appropriate
provision must be made for the review and appeal of recommendations affecting
personnel.
5. The College will
invoke financial exigency only when it determines and demonstrates that a
reduction in tenured positions is essential to the College's capacity to
fulfill its goal and obligations.
6. The proportion
of monies spent for professional salaries, support salaries, and operating
costs will not be changed drastically so as to impede the on-going, effective
functioning of programs.
7. Because financial exigency signals a
threat to the solvency of the College and the potential dissolution of all
academic programs, all feasible efforts will be made to minimize the reduction
of tenured faculty while preserving essential and productive programs that
contribute to the overall well-being of the institution.
8. The College will
maintain its commitment to maintain a diverse workforce that contains women and
other minorities.
9. The College will
seek to maintain reasonable balance in positions devoted to the College's
primary missions (instruction, scholarly research and public service) and the
support programs (library, student services, administration).
10. Due process
will be provided for tenured faculty whose positions are eliminated.
11. Should it be
necessary to terminate a tenured person, the College will assist that person in
finding another position if requested to do so, and will give such
individuals priority for rehiring as appropriate opportunities arise.
3.8.1.4.3
Procedures for the Orderly Reduction of Untenured Positions Prior to the Declaration of Financial
Exigency Non-tenured positions will normally be eliminated before tenured
positions are. Until such time as the elimination of tenured positions becomes
necessary, the College is not in a state of financial exigency. The possibility
exists, however, that some non-tenured positions may be retained even when a
state of financial exigency exists.
3.8.1.4.3.1
General Guidelines
A. To assure the
meaningful participation of faculty at the College and school levels in
decisions leading to reductions in untenured personnel (and tenured personnel
as described in a later section), the Faculty Policies Committee (FPC) will be
actively involved in the decision-making process as described below. The
Faculty Steering Committee may decide to increase the number of members of FPC
as they deem necessary by the increased workload placed upon that committee.
B. Generally,
decreases in the number of authorized positions for
C. Decisions which
require a reduction in untenured positions shall place emphasis upon 1)
preservation of essential College programs and functions, 2) compliance with the
College's commitment to diversity and 3) continuance in position of faculty and
staff members of demonstrably superior merit.
3.8.1.4.3.2.
Procedures For Eliminating Non-Tenured Positions Before Declaring Financial Exigency
Prior to a
declaration of financial exigency, positions will be withdrawn as necessary
from the following groups, listed in the order of decreasing vulnerability: a)
vacancies, b) non-tenure-track positions, and c) untenured, tenure-track
positions. Within these vulnerability groups, and within a particular program,
positions will be withdrawn as necessary from the following groups, listed in
order of decreasing vulnerability: non-professional ranks, assistant
professors, associate professors, and professors; and within each rank from those
with fewest years of service in that category at LC to those with most.
In order to assure
compliance with 1, 2, or 3 in 3.8.1.4.3.1.C above, and after consultation with
FPC, the President of the College may depart from this order, and shall provide
a written rationale to the FPC.
3.8.1.4.4
Procedures for the Orderly Reduction of Positions After the Declaration of
Financial Exigency.
If personnel
reductions under consideration by the College will necessitate the
non-reappointment of one or more tenured persons, the Board of Trustees may
declare a state of financial exigency. If such an action is imminent, the
President of the College will consult with the College Planning and Resources
Committee, FPC, and other appropriate faculty committees, in order to convey to
the Board of Trustees faculty perceptions of the current situation. Once the
Board of Trustees has voted to declare financial exigency, the President will
notify the faculty by mail of a special session of the Faculty Meeting.
3.8.1.4.4.1 General
Guidelines
A. In seeking to
honor the commitment to tenured faculty, strong consideration will be given to
use of the sabbatical leave privilege and periods of detached service
for those tenured faculty who might seek a new assignment within the College in
case of workload shifts. Normal types of faculty attrition (e.g., early
retirement) should be encouraged by the administration.
B. As particular
reductions are considered, all feasible efforts should be made to protect
rights under tenure. Consideration must be given to years of service to the
College and to tenured faculty’s entire record of academic achievement. Tenured
faculty members should be given opportunity to readapt within an academic
program; institutional resources should be made available when feasible for
assistance in re-adaptation. (see pg. 193, item 4 of the AAUP's 1995
"Policy Documents & Reports" for more complete context.).
Deadlines for
Action:
When circumstances
render impracticable strict adherence to the deadlines for action set forth
above, the deadlines shall be adhered to as closely as is practicable. When any
stage is completed before its deadline, subsequent deadlines will not be
adjusted but will remain at the established number of days from the President’s
announcement.
3.8.1.4.4.2
President’s Announcement
A. At a special
session of the Faculty Meeting, the President will inform the faculty that the
College is in a state of financial exigency and will present the rationale for
that decision. The President will identify the total number of positions that
will need to be reduced and demonstrate how those reductions will save the
amount of money needed to keep the College solvent. The reductions will come
from the faculty, the library staff, and the administrative staff.
N.B.: All subsequent procedural deadlines are
measured from the day of this announcement.
B. A written
version of the President's remarks will be distributed to the entire faculty
within three days of the special session of the Faculty Meeting. The procedures
for dealing with the state of financial exigency will begin on the day of the
special session of the Faculty Meeting.
3.8.1.4.4.2
Faculty Policies Committee Review of President’s Proposal
Within seven days of
the President’s announcement to the faculty, and after consultation with
members of the faculty, the Faculty Policies Committee shall submit to the
President and faculty a written response to the President's announcement and to
the proposed number of positions to be eliminated. The response must include
the FPC's opinion (formed in consultation with the Planning and Resources
Committee) as to whether circumstances require dismissal of tenured personnel
and whether the size of reductions is necessary and appropriate.
If one or more of
the committee's members dissent from the majority opinion, the committee's
formal response to the President and the faculty shall include a minority
report describing the reasons for the dissent.
A. The President
determines the number of positions to be eliminated from each of three
categories. After receiving the FPC response and consulting with FPC, the
President will determine the number of positions to be eliminated from each of
these three categories: administrative staff, library staff, and faculty.
Written notification of and supporting rationale for this number will be sent
to the administrative staff, library staff, and faculty within 14 days of the
President’s announcement.
Generally, decreases
in the number of authorized positions for the College's educational program
will be so apportioned among administrative personnel, Library staff, and
faculty that such groups will maintain the same relative distribution of
positions as existed prior to imposed reductions in authorized positions.
However, when specific requirements so indicate, the President in consultation
with FPC may apportion reductions among these three categories in accordance
with specific relative needs. When reductions are apportioned, factors such as
the following must be considered: source of funding, policies or mandates of
the Board of Trustees, long-range projections of enrollments, and state and
federal mandated responsibilities.
B. Dean apportions
reductions to the schools. Within seven days of receiving the President's
notification the Vice President and Dean for Academic Affairs, in consultation
with FPC, will determine the number of positions to be eliminated from each of
the six schools and will forward that information and supporting rationale to
the school deans for their appropriate action and to the President and FPC for
their information. Copies of such decisions and supporting rationale shall be
placed on file in the Library for general examination.
3.8.1.4.4.4.
School Procedures
A. Schools prepare
and submit proposed plans for making reductions. Within 28 days of the
President's announcement of financial exigency at the Faculty Meeting, each
school dean, in consultation with program coordinators and members of the
school, shall prepare and forward to the Dean and to FPC the school’s financial
exigency plan. This plan will indicate the order of vulnerability of faculty
within the school in anticipation of forced reductions. The plan may meet
required reductions solely through terminations or a school may recommend
complementary measures as described below.
The order of
vulnerability - Positions within schools and specific programs shall be
selected for elimination from the following groups, listed in order of decreasing
vulnerability: 1) vacancies, 2) non-tenure track positions, 3) untenured
tenure-track positions, and 4) tenured positions. Within a given group,
vulnerability shall be in decreasing order as follows: non-professional ranks,
assistant professors, associate professors, and professors. The order of
withdrawal of positions from each category shall proceed from those with the
fewest years of service in that category at
The above order of
vulnerability shall be followed except in extraordinary circumstances where a
serious distortion of academic programs or an undermining of the College's
commitment to diversity in the workplace would result.
Individuals who
have been selected on a preliminary basis, for termination as a result of the
plan will be notified of this fact by the Dean’s office. Additionally, a public
announcement will be made of the number of positions to be eliminated in each
school.
B. Fractional
reductions and other means of meeting required reductions within schools.
"When financial exigency leads to a reduction in the overall salary budget
for teaching and research, the governing board, while assuming final
responsibility for setting the limits imposed by the resources available to the
institution, should delegate to the faculty and administration concurrently any
further review of the implication of the situation for individual salaries, and
the faculty should be given the opportunity to minimize the hardship to its
individual members by careful examination of whatever alternatives to
termination of services are feasible." AAUP Policy Documents and
Reports (Faculty Participation in Decisions Relating to Salary Policies and
Procedures).
In keeping with the
above statement a school should identify voluntary fractional
reductions, early or phased retirement, salary and workload reduction or other
measures as a complementary means of satisfying the demands that an imposed
reduction places upon it. The objective of these complementary means is to
reduce the number of terminations required. Where feasible, such measures must
be part of the school's proposed plan to meet the required reductions.
C. Individuals
respond to the plan. Within seven days of a School plan's submission to the
Vice President and Dean for Academic Affairs and FPC, any school member who
claims to be significantly and improperly affected by the plan's requirements
may file written evidence with the school dean and FPC to support that
judgment, and such evidence shall be considered in the Dean's and FPC's review
of the school plan.
A. FPC reviews
school plans - Within 42 days of the President's announcement of financial
exigency at the Faculty Meeting, the FPC shall recommend to the Dean that each
school’s plan be accepted, accepted with modifications, or rejected. The FPC
shall notify the schools of its recommendations to the Dean.
B. Dean prepares
draft recommendations for School Plans including position eliminations and
fractional reductions - The Vice President and Dean for Academic Affairs, after
consideration of the school plans and FPC's recommendations shall make draft
recommendations within 14 days, which shall be forwarded to the schools for
comment.
C. Schools respond
to the Dean’s recommendations - Each school’s response to the Dean’s
recommendations must be submitted to the Vice President and Dean for Academic
Affairs within seven days of receipt of the Dean's draft recommendations.
D. Vice President and
Dean for Academic Affairs submits final recommendations to President - After
consideration of any comments from any of the schools and consultation with
FPC, the Dean shall within 9 days submit final recommendations, along with any
comments from the schools, to the President.
E. President makes
final plan for elimination and/or restructuring of positions - The President
shall present the final plan for elimination and/or restructuring of positions
to the schools within 10 days of receiving the Dean’s recommendations.
F. Schools review
plans annually - Each school shall review its plan annually for continued use,
modification, or termination. If the school recommends modification or
termination of the plan, the results of the review shall be forwarded to the
Dean for approval with or without modification.
3.8.1.4.4.6
Procedures after President has presented final plan for elimination
and/or restructuring of positions
A. Notification of
individuals affected by the plan
1. Notification of
individuals to be released. If, under its plan, a school must eliminate tenured
positions, the school dean shall, within two days forward to the President
the names of those designated for release in the school’s exigency plan. Within
seven days the President shall notify, in writing, the Faculty Personnel
Committee and Faculty Policies Committee and all of those individuals who are
designated for release. Tenured faculty must be notified at least one year
before the effective date of the release unless the financial exigency renders
such notice infeasible, in which case such notice shall be provided as long
before the release date as feasible.
2. Notification of
other individuals affected by the plan. If, under its plan, a school utilizes
voluntary fractional reductions, early or phased retirement, salary and
workload reduction or other measures, the school dean shall, within two days
forward to the President the names of those affected. The President shall
notify, in writing, within seven days those individuals whose positions have
been affected.
3. Request for
reassignment to an academic position in another School. Within thirty days
after notification individuals notified of their release who believe they are
qualified for one or more academic positions outside of their School may submit
a request to the Dean(s) of the School(s) that hold(s) the position(s) and to
the President a request to be considered to fill such a position. Requests must
be accompanied by documentation of qualifications for the position. The President
shall, within seven days, notify tenured persons designated for release that
they are qualified for service in other positions. Ultimate selection to fill
the vacancy shall be made in accordance with normal school procedures.
3.8.1.4.4.7
Appeals and Due Process
Due process must be
provided to those whose positions are eliminated by declaration of financial
exigency and by reductions in force pursuant to Section 3.8.1.4.4, as follows.
Such persons shall have access to the grievance procedure and may appeal to the
Faculty Grievance Committee on the following grounds:
A. The College had
no reasonable basis in fact for selecting the tenured appellant for release; or
B. The selection of
the appellant failed to follow the procedures described in section 3.8.1.4 of
the Faculty Handbook.
The appellant shall
have access to all relevant non-confidential information in the possession of
the College to aid in preparing an appeal based on either ground. The current
procedures of the Faculty Grievance Committee shall apply to such appeals, and
the President of the College shall respond in writing to the recommendations of
the Faculty Grievance Committee.
3.8.1.4.5
Procedures for Restoration of Positions Following the Termination of Exigency
3.8.1.4.5.1
Continuation of financial exigency
For as long as a
state of financial exigency continues, the President will annually present a
financial status report at a Faculty Meeting and explain the need for the
continuation.
3.8.1.4.5.2
Restoration of positions
A. The Board of
Trustees will determine when the period of financial exigency no longer exists.
B. When the state
of financial exigency is over the following policies will be followed.
Tenured persons who
took fractional reductions in their appointments in order to meet financial
exigency conditions shall have their appointments returned to full time as
promptly as possible. That is, as vacancies to be filled occur and/or
additional courses need to be staffed in their programs, these teaching
opportunities shall be evenly distributed over prior reduced positions.
Any tenured person
released in consequence of financial exigency shall be placed on lay-off
status. This status will assure the person continuance of all permissible
rights available to tenured persons. Such a person shall remain on lay-off
status for five years after termination of exigency. Lay-off status will
terminate in less than five years when such person:
1. accepts or
rejects an offer of appointment to the position from which the person was
released;
2. accepts or
rejects an offer of appointment to a position within the College comparable in
status and compensation to that from which the person was released;
3. fails to notify
the President of the College by December 1st of each year that the
person wishes to continue on lay-off status and fails to provide the President
with a statement indicating the person's present location and employment
status; or
4. resigns
The allocation of
restored positions after a period of financial exigency shall be determined by
the President in consultation with the Board of Trustees and FPC and Faculty
Personnel Committee until no tenured persons remain on lay-off status.
Reinstatement
rights of individuals - The College must honor the reinstatement rights of
tenured persons released under financial exigency. The President of the College
shall notify (by certified mail, return receipt requested to the latest address
supplied by the individual) all released tenured persons on lay-off status
whenever a position becomes available for which they are qualified for
candidacy. If a vacancy occurs or a position is restored in a program from
which such individuals were released because of financial exigency, those persons
shall be offered reinstatement in reverse order of their release - that is,
last released, first offered reinstatement. If in another program or school a
vacancy occurs for which a released tenured person on lay-off status is
qualified for candidacy, that person shall be notified and shall be considered
for the position through the school’s normal selection process.
Persons released
under financial exigency who claim that their reinstatement rights have been
infringed upon shall have access to the then-current procedures of the Faculty
Grievance Committee.
Timeline for
Procedures after Declaration of Financial Exigency
Once the Lynchburg
College Board of Trustees declares that a state of financial exigency exists,
the following procedures begin. Ordinarily steps will be completed by the day
indicated, except where circumstances make that completion impossible.
Day 0 President
announces Board’s declaration in a special Faculty Meeting, presents the
rationale for that decision, and indicates anticipated number of positions to
be eliminated from administrative staff, library staff, and faculty.
3.8.1.4.4.1
Day 3 President
sends remarks from special Faculty Meeting in letter to faculty. 3.8.1.4.4.1.B
Day 7 Faculty
Policies Committee responds to President’s remarks and planned reductions,
indicating whether FPC agrees that the reductions are essential for the
financial health of the College. 3.8.1.4.4.2
Day 14 President
informs each school of the numbers of positions to be eliminated from each of
three areas: administrative staff, library staff, and faculty. 3.8.1.4.4.3
Day 21 Dean, after
consultation with FPC, apportions faculty reductions to the six schools.
3.8.1.4.4.3.B
Day 28 Each school
dean submits the school’s plan for meeting the required reductions. 3.8.1.4.4.4
Day 35 Any school
member who claims to be significantly and improperly affected by the school
plan files written evidence with school dean and FPC. 3.8.1.4.4.4 C
Day 42 FPC
recommends to the Dean that each school plan be accepted or modified 3.8.1.4.4.5
A
Day 56 Dean makes
draft recommendations (based on school plans) regarding each school’s necessary
elimination of positions and sends these to school deans. 3.8.1.4.4.5 B
Day 63 Schools make
any comments regarding the Dean’s draft recommendations. 3.8.1.4.4.5.C
Day 72 Dean sends
final recommendations to President. 3.8.1.4.4.5.D
Day 82 President
presents to schools the final plan for elimination and/or restructuring of
positions. 3.8.1.4.4.5.E
Day 84 School deans
submit to President names of faculty whose positions have been affected under
the plan. 3.8.1.4.4.6
Day 91 President
notifies affected faculty of terminations, fractional reductions or other
measures that may impact their employment status. 3.8.1.4.4.6
3.8.1.5
Reduction or Elimination of Program (pending)
3.8.1.6
Dismissal for Cause A
faculty member holding a continuous appointment or tenure may be dismissed for
cause according to the following procedures:
1. Dismissal for
cause shall be understood as requiring separation from employment by the
College.
2. A faculty member
may be dismissed for cause only if he or she either engages in felonious
conduct, moral turpitude, or if he or she is derelict or incompetent with
respect to basic duties of an instructor. A recommendation from the Sexual
Harassment Hearing Panel regarding a charge of sexual harassment (see the
Sexual Harassment Policy) does not preclude the possibility of dismissal for
cause.
3. The procedure by
which a person may be dismissed for cause must be initiated by the Vice
President and Dean for Academic Affairs.
4. When the Vice
President and Dean for Academic Affairs believes there are grounds for
dismissal, he or she shall require that the specific charges be reviewed by a faculty
Hearing Committee. The Hearing Committee shall normally be composed of three
members of the Faculty Personnel Committee who shall be chosen by the Faculty
Personnel Committee. If the term on the Personnel Committee of any of the three
should expire before the conclusion of the hearing, he or she will nevertheless
remain on the Hearing Committee until the completion of the hearing. If the
charges have already been reviewed by a Human Rights Hearing Panel, then that
review will meet the requirement for a review by a Faculty Hearing Committee.
5. If the Dean
believes the charges against a faculty member are especially serious, he or she
may elect to suspend the faculty member with pay from all teaching and related
duties at the College.
6. The Dean shall
inform the faculty member in writing of the charges against him or her. The
faculty member shall have an opportunity to testify in his or her own behalf,
and to submit documentation to the committee. The faculty member shall be
permitted to have an adviser present who may act as his or her counsel.
7. Both the faculty
member and the Faculty Hearing Committee may call witnesses to submit testimony
regarding the matters at issue.
8. When hearing
charges of dereliction or incompetence, witnesses should include teachers and
other scholars, either from
9. A stenographic
record and an audio tape recording of the hearing shall be made and shall be
available to the parties concerned.
10. The Hearing
Committee shall make a detailed report, together with a specific recommendation
either to dismiss or not to dismiss the faculty member, to the Vice President
and Dean for Academic Affairs. A copy of the report shall be provided to the
faculty member.
11. The Vice President
and Dean for Academic Affairs shall, in a timely fashion, notify in writing
both the faculty member and the Faculty Hearing Committee of his or her
decision either to dismiss or not to dismiss the faculty member, together with
his or her reasons for the decision. If the decision of the Vice President and
Dean for Academic Affairs is to dismiss the faculty member, this written notice
shall constitute the notice of dismissal.
12. The faculty
member may appeal a decision of the Vice President and Dean for Academic
Affairs in accordance with the grievance procedures outlined in this chapter.
13. A faculty
member on continuous appointment or who has tenure and who is dismissed even
for cause, except for felonious conduct or moral turpitude, should receive his
or her salary for at least a year from the date of notification of dismissal
whether or not he or she is continued in his or her duties at the institution.
3.9 FACULTY
RIGHTS AND RESPONSIBILITIES
3.9.1 Academic
Freedom (Adapted from
AAUP Statement of 1940; adopted by Board of Trustees, February 18, 1965)
3.9.1.1“
3.9.1.2 “
3.9.1.3 “
3.9.1.4 During the probationary period a faculty
member shall have the academic freedom that all other members of the faculty
have.
3.9.1.5 The College is fully committed to the
free exchange of ideas and will not permit the disruption of the orderly
educational process, whether in the classroom or public forums. The College
reserves the right to establish reasonable "order, time, and place"
rules to govern the conduct of public forums to ensure that a member of the
campus community who wishes to express his or her opinion on some topic can do
so without disruption.
3.9.2
Professional Ethics and Personal Conduct (Based on statement endorsed by the 52d Annual Meeting of the
American Association of University Professors)
3.9.2.1
"Professors, guided by a deep conviction of the worth and dignity of the
advancement of knowledge, recognize the special responsibilities placed upon
them. Their primary responsibility to their subject is to seek and to state the
truth as they see it. To this end professors devote their energies to
developing and improving their scholarly competence. They accept the obligation
to exercise critical self-discipline and judgment in using, extending, and
transmitting knowledge. They practice intellectual honesty. Although professors
may follow subsidiary interests, these interests must never seriously hamper or
compromise their freedom of inquiry."
3.9.2.2 As teachers, professors encourage the
free pursuit of learning in students. They hold before them the best scholarly
standards of their discipline. They demonstrate respect for the student as an individual,
and adhere to their proper role as intellectual guide and counselor. Professors
make every reasonable effort to foster honest academic conduct and to assure
that evaluation of students reflect their true merit. They respect the
confidential nature of the relationship between professor and student. They
avoid any exploitation of students for private advantage and acknowledge
significant assistance from them. Professors protect their students' academic
freedom.
3.9.2.3 As colleagues, professors have
obligations that derive from common membership in the community of scholars.
They respect and defend the free inquiry of their associates. In the exchange
of criticism and ideas they show due respect for the opinions of others.
Professors acknowledge their academic debts and strive to be objective in
professional judgments of colleagues. They accept their share of faculty
responsibilities for governance of the institution.
3.9.2.4 As members of the institution, professors
seek above all to be effective teachers and scholars. Although they observe the
stated regulations of the institution, provided they do not contravene academic
freedom, they maintain the right to criticize and seek revisions. Professors
determine the amount and character of the work done outside the institution
with due regard to their paramount responsibilities within it. When considering
the interruption or termination of their service, they recognize the effect of
their decisions upon the programs of the institution and give due notice of
their intentions.
3.9.2.5 As members of the college community,
professors have the rights and obligations of any citizens. They measure the
urgency of these obligations in the light of their responsibilities to their
subjects, to their students, to their professions, and to their institution.
When they speak or act as private persons they avoid creating the impression
that they speak or act for the college or university. As citizens engaged in a
profession that depends upon freedom for its health and integrity, professors
have a particular obligation to promote conditions of free inquiry and to
further public understanding of academic freedom.
3.9.3 Human
Rights Policy
3.9.3.1 Overview. In order to maintain the integrity of
the educational process and basic human dignity,
The College
maintains several human rights advisors trained to provide confidential aid
to persons who believe that their human rights have been
violated. Persons who believe that they have been so victimized are encouraged
to seek the assistance of one of these advisors by contacting them directly.
The advisor will listen, offer support as appropriate, clarify and explore the
options of both informal and formal resolution procedures and,
when requested, aid in resolving the conflict informally. The advisor can aid
in filing a formal charge of human rights violations. Reports made directly to
supervisors will not be treated in the same confidential manner as those made
to human rights advisors, since supervisors have an institutional
responsibility to take action on all allegations of prohibited behavior.
The procedures that
follow provide a means by which persons who believe that their human rights
have been violated may initiate actions that will rectify the situation and
permit these persons to confront the perpetrator(s) of the alleged violation.
These procedures do not preclude supervisors from initiating personnel action
where no formal complaint of human rights violations has been filed. In cases
of alleged sexual harassment, the College in its discretion will initiate
disciplinary proceedings against the alleged perpetrator where the allegations
involve rape, or any sexual assault where physical force or intimidation is
involved, where the perpetrator has allegedly engaged in multiple significant
incidents of sexual harassment, or in any case where the alleged harassment is
so severe, pervasive, and objectively offensive that it effectively deprives
the victim(s) of access to the educational opportunities or benefits provided
by the College. The College in its discretion will initiate disciplinary action
in cases involving other forms of harassment in circumstances similar in
severity to those just described. The nature of the resolution process will
depend upon whether the respondent is faculty, student or staff. This
policy in no way interferes with an individual's right to resolve a conflict
through other forms of legal action.
3.9.3.2 Policy Statement
and Definition of Human Rights
3.9.3.2.1
Making an
accusation that someone has violated one's human rights is a serious allegation
and should be made only after serious consideration. Such an allegation, if
false or frivolous, may cause hurt or harm and is, in itself, a violation of
another's human rights. It is a violation of this policy for any member of the
College community to make an intentionally false, misleading, or malicious
accusation of a human rights violation. Being formally accused of having
violated the rights of another does not necessarily mean that the person so
accused has in fact violated this policy.
3.9.3.2.2.
Definitions The person
who has made an accusation of a human rights violation under this policy is
referred to as the 'complainant'. The person who is the object of the
accusation is referred to as the 'respondent'.
For the purposes of
this policy, prohibited behaviors are defined below:
1. Harassment is
conduct, verbal or physical, on or off campus, which a reasonable member of the
College community would recognize as having the following intent and effect:
a. significantly
and unreasonably interfering with an individual's or group's educational or
work performance or;
b. which creates a
significantly and unreasonably intimidating, hostile or offensive educational,
work or living environment.
Harassment is
understood in this context to involve behavior that goes beyond simple
rudeness; behavior which has the intent of creating significant discomfort and
which has the effect of interfering with another's ability to live or work
productively.
2. Discrimination
is behavior that subjects an individual or a group of individuals to harassment
or other unfair treatment on the basis of race, religion, gender, disability,
national origin, age, or sexual orientation.
3. Sexual
harassment is behavior, on or off campus, which a reasonable member of a
college community considers as unwelcome sexual advances, unwelcome requests for
sexual favors, or other verbal or physical conduct of a sexual nature when:
a. an employee's or
student's submission to such conduct is made explicitly or implicitly a term or
condition of the employee's work performance or the student's academic performance;
or
b. an employee's or
student's submission to or rejection of such conduct is used as a basis for an
employment decision concerning the employee or academic evaluation of the
student; or
c. such conduct is
known or should have been known by the respondent to unreasonably interfere
with an employee's or student's work performance or to create an intimidating,
hostile, or offensive working or learning environment.
Examples of
Behavior That Constitutes a Violation of Human Rights:
Behavior that
constitutes a violation of human rights includes assault and battery of any
kind; overt threats, serious intimidation, or stalking behavior; obscene
messages in public, on voice mail or computer; serious threats of reprisal and
actual reprisal for refusing sexual overtures or for making a complaint of
violation of human rights. Other examples of harassment are repeated and
unwanted touching or kissing, and other unwanted sexual behaviors, especially
after the behavior has been refused; taking advantage of someone who is
intoxicated; sexual bribes and blackmail; locking up or restraining someone
against his or her will; public berating of others; humiliation based on sexual
orientation, religion, nationality, age, disability, gender or race.
Determination of whether a particular behavior constitutes a violation of human
rights will be based on the specific facts and circumstances of the case in
question.
3.9.3.2.3
Periodic Review. This
policy will be reviewed periodically, by the Faculty Policy Committee and Staff
Advisory Committee, to consider recommendations for changes and updates. The
intervals between review periods shall not exceed three years. The Procedures
are subject to continual review by the Human Rights Oversight Committee and may
be modified by the Committee with the approval of the Faculty Policy and Staff
Advisory Committees.
Procedures for the
Resolution of Human Rights Complaints
3.9.3.3 Informal
Procedures
3.9.3.3.1
General. Informal
procedures exist for the resolution of claims of human rights violations,
allowing behavior that offends another person to be corrected by dialogue and
compromise. Informal procedures provide support for those who believe their
rights have been violated, and attempt to seek a resolution of differences
through discussion. Human Rights Advisors assist those who believe their rights
have been violated by providing support for an informal course of action that
will lead to a resolution of the situation. Human Rights Advisors are also
available to assist those who may wish to seek a more formal resolution of
their complaint.
3.9.3.3.2 Human
Rights Advisors.
1. At least six
members of the College community shall be trained in human rights advising.
There shall be at least one male and one female advisor from each of the following
three groups - faculty, staff and students. The normal tenure for these
positions should be at least three years for faculty and staff and two years
for students. The
2. The names and phone
numbers of advisors will be publicized for the College community. These
advisors may be contacted directly or through the College's
3. Any member of
the College community may choose to contact any of the advisors regardless of
whether she or he may be a student, faculty or staff member.
3.9.3.3.3
Informal Procedures.
1. The advisor will
listen to the complainant and offer emotional support as needed. Advisors will
ensure that all correspondence, notes and related materials are kept completely
confidential.
2. The advisor and
the complainant together will process the information available in order to
determine if, in the opinion of either, a violation of the College's human
rights policy has occurred.
3. The advisor will
explain to the complainant the rights of both the complainant and the
respondent and the procedures to deal with human rights violations.
4. The advisor will
aid the complainant in identifying which course of action the complainant
desires to pursue. These may include one or more of the following:
a. No action at
this time.
b. The complainant may discuss the matter directly with the respondent.
c. The complainant may request the advisor to schedule a meeting with the
complainant, the respondent and the advisor to discuss the problem.
d. The complainant may request that the advisor deliver a written statement to
the respondent and notify the respondent that the advisor has been contacted
concerning a behavioral problem between the complainant and the respondent.
e. The involved parties may formulate and sign a written agreement. This
agreement should normally include a description of the nature of the conflict
and how the conflict was resolved as well as requirements for future behavior.
Such a signed, written agreement is normally the preferred conclusion to
informal proceedings. An incident resolved in this manner shall not result in a
formal complaint unless the terms of the informal agreement are violated. Such
agreements are confidential and are kept in the
f. The complainant may initiate formal proceedings. The advisor may assist the
complainant in initiating formal proceedings if requested by the complainant.
5. Advisors may
consult with one another regarding active or inactive cases, so long as the
identities of any individuals involved are kept in confidence among them.
6. The complainant
may terminate the relationship with the advisor, select a different advisor or
terminate informal proceedings at any time.
3.9.3.4 Formal
Procedures
3.9.3.4.1
General. Any member of
the College community, who believes that he/she has been
subjected to a human rights violation by another member of the College
community, may make a formal written complaint against the alleged violator.
The formal complaint shall include the name(s) of the complainant(s) and the
respondent and a statement of the allegations. The statement of allegations
shall be specific and should include the times, locations and details of the
alleged violation. The classification of the person accused of human right
violations will determine whether the formal procedure will follow faculty,
staff, or student resolution procedures. These same procedures may also be used
by the College in those instances when violations of this policy may have
occurred and where the complainant(s) has not filed a formal complaint. In
these instances the appropriate Dean or Vice President may instigate a
complaint following a formal investigation.
3.9.3.4.2
Faculty and Staff. Formal
proceedings occur at two different levels, dependent on the seriousness of the
allegations. Except as provided in this section and Section 3.9.3.4.3(2), the
first level of resolution is mediation, in which an attempt is made to mediate
a resolution between the parties involved.
If the respondent
is a member of the faculty, or a staff member who reports to the Vice President
and Dean for Academic Affairs, a formal complaint shall be made in writing to
the Vice President and Dean for Academic Affairs. Complaints about the behavior
of these persons will be resolved following faculty procedures.
If the respondent
is a member of the staff, who does not report to the Vice President and Dean
for Academic Affairs, a formal complaint shall be made in writing to the
Vice-President for the area in which the respondent is employed. Complaints
about the behavior of these persons will be resolved following staff
procedures.
Should a question
arise as to whether a person (who functions in different roles) is to follow
student, faculty, or staff procedures, the final resolution shall be made by
the President.
Upon receipt of a
formal, written charge of human rights violation the Dean or Vice-President
shall make a judgment as to whether the complaint would be best resolved
through mediation or if a formal hearing is required. If the nature of the
complaint is such that disciplinary action is not likely to result, then the
complaint might best be resolved though mediation. In this instance the Dean or
Vice-President will forward a copy of the complaint to an
appropriate mediation team. Should the complaint appear sufficiently serious
that substantiation of the allegations would likely result in the College
taking disciplinary action against the respondent, or if there has been a
history of similar complaints against the respondent, then the Dean or
Vice-President may require that the dispute proceed directly to a formal
investigation and hearing. In this event the Dean or Vice-President will
contact the respondent, give him/her a copy of the written complaint, take any
temporary personnel action that may be necessary, and begin formal
investigation procedures.
3.9.3.4.3
Mediation
The Mediation Team
will, upon receipt of a complaint and normally within two working
days, contact both the respondent and complainant(s). The respondent will be
provided a copy of the formal complaint and all parties will be provided copies
of Procedures for Mediation Hearings. In consultation with all involved parties
a date for a mediation hearing will be set, ordinarily not sooner than one week
from the date of notification nor later than two weeks. All parties will be
advised that the mediation hearings will be confidential. Should the parties
wish to include witnesses as part of their presentation they will need to
provide the Mediators with a list of witnesses at least one day prior to the
start of the hearing.
The intent of
mediation is to attempt a resolution of the situation that prompted the
original complaint, such that both the complainant(s) and the respondent agree
that their behavior has been explained and a fair resolution has been obtained.
Any of the involved parties may suggest what would constitute a fair
resolution, and/or the Mediators themselves may suggest possibilities. A fair
resolution does not require an admission of guilt on the part of the
respondent. The resolution statement will usually provide a detailed statement
as to what each of the parties will do in order to meet the expectations of the
resolution.
Only the
complainant(s), respondent, and the Mediation Panel members attend mediation
hearings. Witnesses may be invited only to provide evidence. No records are
kept of the proceedings except for the resolution agreement, which will be
signed by both the complainant(s), the respondent, and witnessed by the
Mediators. The Mediators have the right to limit both the amount of discussion
and the number and length of witness presentations.
Where mediation
fails to reach a resolution acceptable to both parties, and the complainant
wishes to proceed with the complaint, the Mediators shall take action as
follows.
1. If the Mediators
determine that there is merit to the complaint and that the resolution
requested by the complainant is reasonable, the Mediators shall refer the
complaint for investigation and formal hearing as provided in Section
3.9.3.4.4.
2. If the Mediators
determine that the complaint has no merit, or that the resolution requested by
the complainant is unreasonable, they shall terminate the mediation process and
take no further action. In this event the complainant will have the right to
appeal the Mediators' decision to the appropriate Dean or Vice-President, who
may at this time uphold the action of the Mediators, or initiate an
investigation and a formal hearing. In every case where mediation does not
produce a resolution the Mediators will send a letter to the appropriate Dean
or Vice-President summarizing the substance of the hearing and the reasons for
their decision.
Failure of any
parties to appear at a scheduled mediation hearing will be communicated in
writing by the Mediation Panel to the appropriate Dean or Vice-President. The
Dean or Vice-President may take whatever action they deem necessary, to insure
compliance with College policies.
Resolutions agreed
to by the parties involved will be forwarded to the appropriate Dean or
Vice-President. Ordinarily this will take place within two working days after
the hearing. Normally, this ends the mediation process and shall not result in
any further disciplinary action being taken on the part of the Dean or
Vice-President. In the event that the agreement is compromised by any of the
parties involved and if a further complaint is made, the resolution may be
presented as evidence in later (Mediation or Formal) hearings.
If at any time
during the mediation session the Mediators determine that substantiation of the
allegations would likely result in the College taking disciplinary action
against the respondent, the complaint shall be returned to the Dean or
Vice-President with a request for a Formal Hearing.
3.9.3.4.4 Formal
Hearings
1. In the event
that the Mediators deem the circumstances of a complaint require a Formal
Hearing or if the Dean or Vice-President receiving the initial complaint believes
that a Formal Hearing is most appropriate, then a formal investigation is
required. This will first require that the Dean or Vice-President forward a
copy of the charge to two or more investigators and instruct them to initiate a
formal investigation of the charge. The investigators will attempt to determine
the relevant facts through personal interviews, correspondence, research of
relevant documents and other appropriate means.
2. The
investigation should normally be completed within 10 calendar days, although
special circumstances may require a longer time period. In the event the
investigators determine that the investigation will extend beyond 10 days, they
will notify in writing, the complainant, the respondent, and the appropriate
Dean or Vice-President. After their investigation is completed, the
investigators will forward a written report of their findings to the
appropriate Dean or Vice-President. The investigative report should include all
documents relevant to the investigation.
3. Upon receipt of
the investigator's report the Dean or Vice-President shall first decide if the
investigation was sufficient to provide the needed information. Should there be
insufficient or missing evidence the investigators will be asked to provide
this information in a timely fashion. Following this, the Dean or
Vice-President will decide if the investigation supports convening a formal
hearing or, if not, is more appropriate for mediation. In the latter instance,
the case will be sent for mediation. If the evidence supports a formal hearing
the Dean or Vice-President shall forward a copy of the written
complaint and the investigative report to the coordinator of the Hearing Panel
who will convene the full Hearing Panel. The Panel will determine which four members
will hear the case, one of whom will serve as the Hearing Panel Chairperson.
The full Hearing Panel will also select two alternates who will hear the case
but, except in the instance they need to replace one of the four regular panel
participants, will not participate in any formal deliberations following the
conclusion of the hearing. The Hearing Panel shall be informed of the identity
of the complainant(s) and the respondent in order to eliminate any conflict of
interest.
4. The Chairperson
of the Hearing Panel shall set a time and place for the hearing. The scheduled
date of the hearing shall be no later than 14 calendar days after notification
from the Dean or Vice-President, unless the complainant(s), the respondent and
the Chairperson of the Hearing Panel agree upon a later date.
5. The Chairperson
of the Hearing Panel shall contact the complainant(s), the respondent, members
of the Hearing Panel, the Dean or Vice-President and the investigators by
letter indicating the time and place of the hearing. The letter to the
complainant(s) and the respondent shall contain the following:
a. The date and
time of the hearing
b. An explanation of the role of the Hearing Panel, including an invitation to
discuss the procedures for the hearing with the Chairperson prior to the
hearing.
c. A copy of the formal complaint written by the complainant(s)
d. A copy of the Lynchburg College Human Rights Policy and Procedures
e. A copy of the Order of the Hearing Process
f. A statement that all materials and records of the hearing shall be
confidential
g. A request for names of all witnesses to be contacted for the hearing
6. The Chairperson
of the Hearing Panel, upon receipt of the lists of witnesses shall send a
letter specifying time and location of the hearing to each requested witness.
7. The Chairperson
shall preside over the hearing, normally following the Order of the Hearing
Process, unless a requested modification is agreed to by the Chairperson and
the parties involved. Normally, only the respondent, his/her advocate, the
complainant, his/her advocate, the Dean or Vice-President and Hearing Panel
members may attend the hearing. The Hearing Panel may consider a request for a
mental health professional (who may or may not be a member of the College
Community) from the complainant or the respondent. This professional may then
attend the hearing in order to provide personal support but may not act as an
advocate. The Hearing Panel will act as a neutral body, hearing the facts of
the case, calling witnesses and asking questions.
The Dean or
Vice-President will attend the hearing and may question witnesses during the
hearing, but may not participate in the deliberations of the Hearing Panel.
8. All proceedings
shall be taped by a member of the Hearing Panel, with the exception of the
deliberations. No other tape recordings are allowed.
9. Following the
hearing, the Hearing Panel shall meet alone to determine if the respondent is
responsible for violating the rights of the complainant(s). If the decision of
the Hearing Panel is that the respondent is responsible, the Hearing Panel will
then consider recommendations for sanctions.
10. The written
findings and recommendations of the Hearing Panel shall be read and recorded at
the end of the tape of the hearing. Only members of the Hearing Panel may be
present at this time. The written report of the Panel shall include the
findings and recommendations of the Hearing Panel and the reasons for them and
the number of votes for and against the finding of the Panel. This report, the
tape recording, and all other supporting documents shall be delivered to the
Dean or Vice-President normally within two (2) working days after the end of
the hearings.
11. The Dean or
Vice-President shall make a decision on the case and shall prepare a written
report, which shall include the Hearing Panel's original findings
and recommendations and his/her reasons for concurring with or rejecting these
findings and recommendations. Should the decision of the Dean or
Vice-President involve a recommendation of termination of employment, this
requires action by the President, who under these circumstances will make the
final decision. The complainant(s), the respondent, and members of the
Hearing Panel shall be informed in writing of this final decision in a timely
fashion, not to exceed three (3) working days after the written report of the
Hearing Panel has been received by the Dean or Vice-President
12. The written
decision of the Dean, Vice-President, or President and all records of the case
(e.g., all documents and tapes of the hearing) shall be kept by the Dean's
Office in cases involving a faculty hearing, or the Human Resource Office in
cases involving a staff hearing.
3.9.3.4.5
Appeals
For human rights
violations decisions rendered through faculty or staff proceedings, the
following appeal procedures replace any other Grievance or appeal procedures
described in the Faculty or Staff Handbooks. The person accused of human rights
violations or the person(s) who made the formal complaint may appeal a human
rights violation decision.
Following a
decision of the Dean or Vice-President with regard to human rights violations a
faculty or staff member may appeal the decision on one or more of the following
grounds:
a. on procedural
grounds to Faculty or Staff Grievance,
b. to the Dean or
Vice-President based on new evidence,
c. a final appeal
based on fairness, to the President of the College.
Decisions made on
appeals, whether by Faculty or Staff Grievance, the Dean, Vice-President, or
President, will normally be completed within seven working days following the
receipt of a written appeal, unless special circumstances dictate otherwise.
Appeals to the
Faculty or Staff Grievance Committee must be made in writing within 30 calendar
days of receipt of the Dean's or Vice-President's decision. The decision on the
appeal may be one of the following:
a. proper
procedures were followed
b. procedural
errors were minor and did not influence the outcome of the hearing -- hence the
results of the hearing are supported or
c. hearing
procedures were violated in such a way as to raise serious questions about the
outcome, and so the Dean or Vice-President is advised to disregard the
recommendations. In the event that the third (c) conclusion is reached Faculty
or Staff Grievance will so notify the Dean or Vice-President, who will have an
additional seven working days to either reaffirm, modify or overturn the prior
decision/sanctions.
In the event new
evidence comes to light following the hearing, a Faculty or Staff member may, within
30 calendar days of formal notification of the Dean's or Vice-President's
decision, make a written appeal for reconsideration to the Dean or
Vice-President. The Dean or Vice-President may deny the significance of the new
evidence or reaffirm, modify or nullify the prior decision/sanctions.
Faculty and Staff
also have a right to make an appeal to the President of the College. This
appeal must be made in writing and within 14 calendar days of the latest
decision of the Dean or Vice-President, and may raise questions of both the
fairness of procedures and the appropriateness of the sanctions given by the
Dean or Vice-President.
3.9.3.4.6
Students. If the
respondent is a student, a formal complaint shall be made in writing to the
Office of the Vice President and Dean for Student Development. The Dean or
designated member of the Dean's staff will talk with the complainant(s) and the
respondent individually. If evidence is found which warrants bringing the
respondent to a hearing, the Dean's Office will convene an Administrative
Hearing and follow procedures outlined under the Honor and Student Conduct
Codes and Regulations section of the Hornet. A Dean's Hearing may be elected by
either the respondent student or the member of the campus community bringing the
charge. The Dean's Hearing is conducted according to the procedure outlined
under the Honor and Student Conduct Codes and Regulation section of the Hornet.
Both the respondent and the complainant may have a hearing advisor from the
campus community with them throughout the proceedings.
A decision of
responsibility may be appealed as stipulated under the Adjudication of Judicial
Charges Section in The Hornet.
3.9.3.4.7
Executive If the accused is
a Dean, Vice-President or the President, the formal complaint will be heard at
the next higher administrative level.
3.9.3.4.8
Records and Sanctions All
records of a hearing shall be confidential. Records from a faculty hearing
shall be kept by the Vice President and Dean for Academic Affairs, records from
a staff hearing shall be kept by the Human Resource Office, and records from a
student hearing shall be kept by the Office of the Vice President and Dean for
Student Development
3.9.3.5 Staffing
3.9.3.5.1 Human
Rights Advisors At least
six members of the College community shall be trained as advisors for
violations of human rights. There shall be at least one male and one female
advisor from each of the following three groups: faculty, staff and students.
The normal tenure for these positions should be at least three years for
faculty and staff and two years for students. The advisors will be selected by
the
3.9.3.5.2
Hearing Panels. There are
two Hearing Panels, one for faculty and one for staff. The purpose of each
panel is to advise and assist the Dean or Vice-President in considering charges
of human rights violations and to make recommendations as to whether the
charges are substantiated and possible sanctions.
The members of the
Faculty Panel will be full-time faculty members and the members of the Staff
Panel will be full-time staff members. Each Panel will consist of at least
four females and at least four males. Each Panel will
have a member who will act as its coordinator, and who
will receive requests for formal hearings.
Panel members shall
serve six (6) year terms with staggered expiration dates and will
be nominated every third year by the Faculty Steering and Staff Advisory
Committees, and subsequently approved by a vote of the faculty and staff as
appropriate. The Faculty Steering or the Staff Advisory Committees, as
appropriate, may fill vacated terms with one year or less remaining through
appointment. If special circumstances create a shortage of
available panel members, the Faculty Steering and Staff Advisory Committees may
appoint additional members on a temporary basis. Panel members will participate
in training sessions on human rights issues, policy and procedures. The Human
Rights Oversight Committee will schedule these sessions.
3.9.3.5.2.5
Mediators. Mediators
shall be individuals contracted by the college, who are certified as mediators.
The choice of mediators resides with the appropriate Dean or Vice President.
3.9.3.5.3
Advocates. In all stages
of formal procedures both the respondent and the complainant may be accompanied
by an advocate of their choice as specified in the section on formal hearings.
Advocates may speak in formal hearings. Advocates must be employees or students
of the College.
3.9.3.5.4
Oversight Committee. The
College will maintain a Human Rights Oversight Committee. A member of the
College community appointed by the President chairs the Committee. The
Committee will additionally have one faculty member appointed by Faculty
Steering Committee, one staff member appointed by the Staff Advisory Committee,
and may include one student (profitably involved with the student judiciary)
recommended by the SGA in consultation with the Vice President and Dean for
Student Development and appointed by the President of the College. The
Committee's primary responsibility is to ensure that the requirements of the
Human Rights Policy are being met and that the requirements reflect the needs
of the College community.
Additionally, the
Committee will
1. continually
evaluate the effectiveness of the policy and advise the President of its
findings,
2. recommend
changes to the policy to address needs as they are identified and make changes
in the procedures to keep them consistent and effective.
3. make
recommendations to the President regarding the delegation of responsibilities
for certain tasks, and
4. address other
concerns related to human rights as appropriate.
Responsibilities
regarding a central repository for all documents/materials needed during the
course of an investigation/ hearing/sanction, instructions on how to use them,
distribution of documents, publications and other materials, training,
education, campus awareness and other related specifications that are not
explicitly covered in the Human Rights Policy will be specified at the discretion
of the Oversight Committee.
3.9.3.5.5 Human
Rights Investigators. The
Human Rights Oversight Committee will recommend and the President will appoint
at least eight Human Rights Investigators. The eight investigators will consist
of the following:
two male faculty
members, two female faculty members, two male staff members, and two female
staff members.
The following
individuals may not serve as investigators:
- The President of
the College
- Human Rights Advisors
- Human Rights Hearing Panel Members
Additionally,
supervisors of the complainant or the respondent may not serve as
investigators.
If the complainant
or the respondent is an investigator they may not investigate their own case.
Normally, one
female and one male faculty member will investigate charges against a faculty
member and one female and one male staff member will investigate charges
against a staff member. More than two investigators may be employed if needed.
Investigators will
be trained in a manner specified by the Human Rights Oversight Committee.
3.9.3.6
Education and Prevention
3.9.3.6.1
Publications.
1. Brochure.
A brochure will be made available to all students, faculty and staff. It will
include the overview, policy statement, and definitions. It will be updated
each year to include the names and telephone numbers of advisors.
2. Hornet/Faculty/Staff
Handbooks. The full policy and procedures, both informal and formal will be
included in each handbook.
3. Critograph. At
the beginning of each year the
4. Videos.
When the policy is implemented, educational videos will be selected to present the
issues and definition of human rights. These videotapes will then be available
for use in orientation and ongoing education of students, faculty and staff.
3.9.3.6.2
Orientation/Training
1. All new full and
part-time students, full and part-time faculty and full and part-time staff
will receive orientation about the policies and procedures.
2. Materials
covering the College's Human Rights Policies are included in the August
paycheck for all employees, and are distributed at the October faculty meeting.
Also, brochures summarizing the College's policies can be found in the Business
Office.
3. As part of
orientation for new faculty/staff, all full and part-time faculty/staff members
are required to attend an orientation session specifically focused on the College's
Human Rights Policies. Faculty members unable to attend the required sessions
must make an appointment with the College's
4. Training will be
provided to the Human Rights Advisors, members of the Hearing Panels, and
Investigators. This training will address
5. Orientation and
training will be coordinated by the college unit responsible, i.e. The Office
of Student Development, for all students; Human Resources, for all full and
part-time Staff; and the Office of the Vice President and Dean for Academic
Affairs, for all full and part-time faculty.
3.9.4 IMPAIRED
FACULTY POLICY (approved
10/18/02)
3.9.4.1 Policy
Statement. The College
community recognizes that matters related to alcohol or drug abuse and
dependence and mental disorders among faculty pose a risk to the health and
safety of members of the College community as well as a threat to the College’s
ability to pursue its mission. It is the intent of this policy to ensure that
faculty members are aware of the College’s Employee Assistance Program and its
willingness to assist faculty members in the amelioration of their concerns
related to alcohol or drug abuse and dependence as well as mental disorders. In
those instances where rehabilitative efforts have failed or have been refused
by the affected faculty member, impairment may become the basis for
disciplinary action or dismissal. Because of the sensitive nature resulting
from allegations and evidence of mental disorders and alcohol or drug abuse and
dependence, every effort will be made to protect the confidentiality of the
faculty member and the affected parties. Provisions of this policy may be
extended to faculty members who inadvertently become addicted to a prescribed
medication as the result of their participation in a physician-supervised,
medical protocol.
3.9.4.2
Definitions. An
“impaired” faculty member is one who because of alcohol or drug abuse or mental
illness can no longer productively participate in the activities of the College
community and/or poses a threat to himself, herself, others or the College’s
mission. Evidence of impairment may be reflected but not limited to:
- a diminished
performance in classroom and administrative responsibilities
- frequent or
unexplained illness, absenteeism, tardiness, or accidents
- difficulty with
routine work behaviors or the inability to initiate activities to remediate
work deficits, and
- law violations
including alcohol or drug related citations.
3.9.4.3
Procedures. Faculty
members who suspect they are impaired by alcohol or drug abuse or dependence or
mental illness are encouraged to refer themselves to the College’s Employee
Assistance Program or any other qualified professional or group of
professionals. Related parties, including colleagues, family members, students,
and staff, who regularly observe the behaviors of members of the faculty may
also voice their concerns regarding the impairment of a faculty member.
If sufficient
evidence suggests that an impairment exists, the Vice President and Dean for
Academic Affairs will make a referral of the faculty member to the College’s
Employee Assistance Program.
If treatment for
mental illness or alcohol or drug dependence is required, the Employee
Assistance Program will maintain responsibility for monitoring the progress and
treatment compliance of the impaired faculty member. Treatment compliance may
be monitored for up to two years following the initial complaint and will
follow prescribed guidelines established by the Employee Assistance Program.
Ongoing information regarding the faculty member’s subsequent treatment
compliance and follow-up activities will be shared only with the Vice President
and Dean for Academic Affairs.
During the period
of treatment and thereafter, the impaired faculty member shall not be
discriminated against on the basis of his or her disability. Reasonable
accommodations can be sought by the impaired faulty member to assist in meeting
the responsibilities of a productive faculty member. However, the workload
responsibilities and performance expectations for the impaired faculty will be
similar to other faculty members with the same time and rank.
If the Employee
Assistance Program or any other qualified professional or group of
professionals determines that the faculty member is in need of inpatient care,
the impaired faculty member will be provided the same leave-time available to
other faculty members granted leave for chronic illnesses. Prior to
reinstatement, the Vice President and Dean for Academic Affairs in consultation
with the Director of Human Resources, the representative from the Employee
Assistance Program, and the faculty member’s School Dean will be included in
the review process to determine the faculty member’s suitability to return to
work.
3.9.4.4 Failure
to Seek or Respond to Treatment When substantial evidence exists that a faculty member has become
impaired by a mental disorder or alcohol or drug abuse or dependence and the
impaired faculty member refuses to seek treatment, or if the information from
the Employee Assistance Program indicates that the impaired faculty member has
not pursued recommended treatment options or has failed to benefit from
treatment because of lack of interest or motivation, the Vice President and
Dean for Academic Affairs, in consultation with the Director of Human
Resources, the School Dean, and the Employee Assistance Program may initiate
disciplinary action or, if warranted, may initiate procedures leading to
dismissal.
3.9.4.5
Grievance Faculty members
who believe that their rights as a faculty member have been abridged or
violated in the procedural implementation of this policy may grieve under
section 3.16.2 of this handbook.
3.9.5 RESEARCH MISCONDUCT (approved
11/15/02)
3.9.5.1
Introduction
A.
B. Scope This policy and the associated procedures
apply to any person paid by, under the control of, or affiliated with the
institution, such as faculty, trainees, technicians and other staff members,
students, fellows, guest researchers, or collaborators at Lynchburg College.
The policy and associated procedures will be followed when an allegation of
possible misconduct is received by an institutional official. Particular
circumstances in an individual case may dictate variation from the normal
procedure deemed in the best interests of
3.9.5.2.Definitions
Allegation means any written or oral statement or
other indication of possible research misconduct made to an institutional
official.
Conflict of
interest means the
real or apparent interference of one person's interests with the interests of
another person, where potential bias may occur due to prior or existing
personal or professional relationships.
Deciding
Official herein will
be the Vice President and Dean for Academic Affairs as the institutional
official who makes final determinations on allegations of scientific misconduct
and any responsive institutional actions.
Good faith
allegation means an
allegation made with the honest belief that scientific misconduct may have occurred.
An allegation is not in good faith if it is made with reckless disregard for or
willful ignorance of facts that would disprove the allegation.
Inquiry means gathering information and initial
fact-finding to determine whether an allegation or apparent instance of
scientific misconduct warrants an investigation.
Investigation means the formal examination and
evaluation of all relevant facts to determine if misconduct has occurred, and,
if so, to determine the responsible person and the seriousness of the
misconduct.
ORI means the Office of Research Integrity within the U.S. Department
of Health and Human Services (DHHS).
PHS means the U.S. Public Health Service, an
operating component of the DHHS.
Research
Integrity Officer (
Research
record means any
data, document, computer file, computer diskette, or any other written or
non-written account or object that reasonably may be expected to provide
evidence or information regarding the proposed, conducted, or reported research
that constitutes the subject of an allegation of research misconduct. A research
record includes, but is not limited to, grant or contract applications, whether
funded or unfunded; grant or contract progress and other reports; laboratory
notebooks; notes; correspondence; videos; photographs; X-ray film; slides;
biological materials; computer files and printouts; manuscripts and
publications; equipment use logs; laboratory procurement records; animal
facility records; human and animal subject protocols; consent forms; medical
charts; and patient research files.
Respondent means the person against whom an
allegation of research misconduct is directed or the person whose actions are
the subject of the inquiry or investigation. There can be more than one
respondent in any inquiry or investigation.
Retaliation means any action that adversely affects the employment or other
institutional status of an individual that is taken by an institution or an
employee because the individual has in good faith made an allegation of
research misconduct or of inadequate institutional response thereto or has
cooperated in good faith with an investigation of such allegation.
Research
misconduct means fabrication, falsification,
plagiarism, or other practices that seriously deviate from those that are
commonly accepted within the research community for proposing, conducting, or
reporting research. It does not include honest error or honest differences in
interpretations or judgments of data.
Whistleblower means a person who makes an allegation of research misconduct.
3.9.5.3 Rights
and Responsibilities
A. Research
Integrity Officer (RIO)
The Vice President and Dean for Academic Affairs will appoint the Research
Integrity Officer (RIO) who will have primary responsibility for implementation
of the
The
The
The RIO in
conjunction with the Vice President and Dean for Academic Affairs will report
to ORI as required by regulation and keep ORI apprised of any developments
during the course of the inquiry or investigation that may affect current or
potential DHHS funding for the individual(s) under investigation or that PHS
needs to know to ensure appropriate use of Federal funds and otherwise protect
the public interest.
B. Whistleblower The whistleblower will have an
opportunity to testify before the inquiry and investigation committees, to
review portions of the inquiry and investigation reports pertinent to his/her
allegations or testimony, to be informed of the results of the inquiry and
investigation, and to be protected from retaliation. Also, if the
C. Respondent The respondent will be informed of the
allegations when an inquiry is opened and notified in writing of the final
determinations and resulting actions. The respondent will also have the
opportunity to be interviewed by and present evidence to the inquiry and
investigation committees, to review the draft inquiry and investigation
reports, and to have the advice of counsel.
The respondent is
responsible for maintaining confidentiality and cooperating with the conduct of
an inquiry or investigation. If the respondent is not found guilty of
misconduct, he or she has the right to receive institutional assistance in
restoring his or her reputation.
D. Vice
President and Dean for Academic Affairs The Vice President and Dean for Academic Affairs will receive the
inquiry and/or investigation report and any written comments made by the
respondent or the whistleblower on the draft report. The Vice President and
Dean for Academic Affairs will consult with the
3.9.5.4. General
Policies and Principles
Responsibility
to Report Misconduct All
employees or individuals associated with
At any time, an
employee may have confidential discussions and consultations about concerns of
possible misconduct with the
Protecting the
Whistleblower The
The institution
will protect the privacy of those who report misconduct in good faith to the
maximum extent possible. For example, if the whistleblower requests anonymity,
the institution will make an effort to honor the request during the allegation
assessment or inquiry within applicable policies and regulations and state and
local laws, if any. The whistleblower will be advised that if the matter is
referred to an investigation committee and the whistleblower's testimony is
required, anonymity may no longer be guaranteed. The College will undertake
diligent efforts to protect the positions and reputations of those persons who,
in good faith, make allegations.
Protecting the
Respondent Inquiries and
investigations will be conducted in a manner that will ensure fair treatment to
the respondent(s) in the inquiry or investigation and confidentiality to the
extent possible without compromising public health and safety or thoroughly
carrying out the inquiry or investigation.
Institutional
employees accused of misconduct may consult with a non-lawyer personal adviser
(who is not a principal or witness in the case) to seek advice and may bring
this adviser to interviews or meetings on the case.
Cooperation with
Inquiries and Investigations Institutional employees will cooperate with the
Preliminary
Assessment of Allegations
Upon receiving an allegation of scientific misconduct, the
3.9.5.5.
Conducting the Inquiry
Initiation and
Purpose of the Inquiry
Following the preliminary assessment, if the
Sequestration of
the Research Records
After determining that an allegation falls within the definition of research
misconduct, the
Appointment of
the Inquiry Committee The
RIO, in consultation with other institutional officials as appropriate, will
appoint an inquiry committee and committee chair within 10 days of the
initiation of the inquiry. The inquiry committee will consist of individuals
who do not have real or apparent conflicts of interest in the case, are
unbiased, and have the necessary expertise to evaluate the evidence and issues related
to the allegation, interview the principals and key witnesses, and conduct the
inquiry. These individuals may be scientists, subject matter experts,
administrators, or other qualified persons, and they may be from inside or
outside the institution.
The
Charge to the
Committee and the First Meeting The RIO will prepare a charge for the inquiry committee that
describes the allegations and any related issues identified during the
allegation assessment and states that the purpose of the inquiry is to make a
preliminary evaluation of the evidence and testimony of the respondent,
whistleblower, and key witnesses to determine whether there is sufficient
evidence of possible research misconduct to warrant an investigation. The
purpose is not to determine whether misconduct definitely occurred or who was
responsible.
At the committee's
first meeting, the
Inquiry Process The inquiry committee will interview the whistleblower, the
respondent, and key witnesses as well as examining relevant research records
and materials. Then the inquiry committee will evaluate the evidence and
testimony obtained during the inquiry. After consultation with the
3.9.5.6. Inquiry
Report
Elements of the
Inquiry Report A written
inquiry report must be prepared that states the name and title of the committee
members and experts, if any; the allegations; the funding agency and support,
if applicable; a summary of the inquiry process used; a list of the research
records reviewed; summaries of any interviews; a description of the evidence in
sufficient detail to demonstrate whether an investigation is warranted or not;
and the committee's determination as to whether an investigation is recommended
and whether any other actions should be taken if an investigation is not
recommended.
Comments on the
Draft Report by the Respondent and the Whistleblower The RIO will provide the respondent with
a copy of the draft inquiry report for comment and rebuttal and will provide
the whistleblower, if he or she is identifiable, with portions of the draft
inquiry report that address the whistleblower's role and opinions in the
investigation.
Confidentiality The
Receipt of
Comments Within 14
calendar days of their receipt of the draft report, the whistleblower and
respondent will provide their comments, if any, to the inquiry committee. Any
comments that the whistleblower or respondent submits on the draft report will
become part of the final inquiry report and record. Based on the comments, the
inquiry committee may choose to revise the report as appropriate.
3.9.5.7 Inquiry
Decision and Notification
Decision by Vice
President and Dean for Academic Affairs The
Notification The
Time Limit for
Completing the Inquiry Report The inquiry committee will normally complete the inquiry and
submit its report in writing to the RIO no more than 60 calendar days following
its first meeting, unless the
3.9.5.8.
Conducting the Investigation
Purpose of the
Investigation The purpose
of the investigation is to explore in detail the allegations, to examine the
evidence in depth, and to determine specifically whether misconduct has been
committed, by whom, and to what extent. The investigation will also determine
whether there are additional instances of possible misconduct that would
justify broadening the scope beyond the initial allegations. This is
particularly important where the alleged misconduct involves clinical trials or
potential harm to human subjects or the general public or if it affects
research that forms the basis for public policy, clinical practice, or public
health practice. The findings of the investigation will be set forth in an
investigation report.
Sequestration of
the Research Records Error!
Bookmark not defined. The final report must describe the policies and
procedures under which the investigation was conducted, describe how and from
whom information relevant to the investigation was obtained, state the
findings, and explain the basis for the findings. The report will include the
actual text or an accurate summary of the views of any individual(s) found to
have engaged in misconduct as well as a description of any sanctions imposed
and administrative actions taken by the institution.
3.9.5.11
Comments on Draft Report
Respondent The
Whistleblower The
Institutional
Counsel The draft
investigation report will be transmitted to the institutional counsel for a
review of its legal sufficiency. Comments should be incorporated into the
report as appropriate.
Confidentiality In distributing the draft report, or
portions thereof, to the respondent and whistleblower, the RIO will inform the
recipient of the confidentiality under which the draft report is made available
and may establish reasonable conditions to ensure such confidentiality. For
example, the
Institutional
Review and Decision Based
on a preponderance of the evidence, the Vice President and Dean for Academic
Affairs will make the final determination whether to accept the investigation
report, its findings, and the recommended institutional actions. If this
determination varies from that of the investigation committee, the Dean will
explain in detail the basis for rendering a decision different from that of the
investigation committee (and send this information, as applicable, in the
institution's letter transmitting the report to ORI). The Dean’s explanation
should be consistent with the definition of research misconduct, the
institution's policies and procedures, and the evidence reviewed and analyzed
by the investigation committee. The Dean may also return the report to the
investigation committee with a request for further fact-finding or analysis. As
applicable, the Dean's determination, together with the investigation
committee's report, constitutes the final investigation report for purposes of
ORI review.
When a final
decision on the case has been reached, the
Transmittal of
the Final Investigation Report to ORI (as applicable)After comments have been received and the
necessary changes have been made to the draft report, the investigation
committee should transmit the final report with attachments, including the
respondent's and whistleblower's comments, to the Dean, through the RIO.
Time Limit for Completing
the Investigation Report
An investigation should ordinarily be completed within 120 days of its
initiation, with the initiation being defined as the first meeting of the
investigation committee. This includes conducting the investigation, preparing
the report of findings, making the draft report available to the subject of the
investigation for comment, submitting the report to the Dean for approval, and
submitting the report, as applicable, to the ORI.
Requirements for
Reporting to ORI (as applicable) An institution's decision to initiate an investigation must be
reported in writing to the Director, ORI, on or before the date the
investigation begins. At a minimum, the notification should include the name of
the person(s) against whom the allegations have been made, the general nature
of the allegation as it relates to the PHS definition of misconduct, and the
PHS applications or grant number(s) involved. ORI must also be notified of the
final outcome of the investigation and must be provided with a copy of the
investigation report. Any significant variations from the provisions of the
institutional policies and procedures should be explained in any reports
submitted to ORI.
Termination of
Inquiry If an institution
plans to terminate an inquiry or investigation for any reason without
completing all relevant requirements of the PHS regulation, the
Extension of
Inquiry If the
institution determines that it will not be able to complete the investigation
in 120 days, the RIO will submit to ORI a written request for an extension that
explains the delay, reports on the progress to date, estimates the date of
completion of the report, and describes other necessary steps to be taken. If
the request is granted, the
Statement of
Admission When PHS
funding or applications for funding are involved and an admission of research
misconduct is made, the
Notification The
1. there is an
immediate health hazard involved;
2. there is an
immediate need to protect Federal funds or equipment;
3. there is an
immediate need to protect the interests of the person(s) making the allegations
or of the individual(s) who is the subject of the allegations as well as
his/her co-investigators and associates, if any;
4. it is probable
that the alleged incident is going to be reported publicly; or
5. the allegation
involves a public health sensitive issue; or
6. there is a
reasonable indication of possible criminal violation. In this instance, the
institution must inform ORI within 24 hours of obtaining that information.
3.9.5.12.
Institutional Administrative Actions
- withdrawal or
correction of all pending or published abstracts and papers emanating from the
research where misconduct was found.
- removal of the
responsible person from the particular project, letter of reprimand, special
monitoring of future work, probation, suspension, salary reduction, or
initiation of steps leading to possible rank reduction or termination of
employment;
- restitution of
grant funds as appropriate.
3.9.5.13. Other
Considerations
Termination of
Institutional Employment or Resignation Prior to Completing Inquiry or
Investigation The
termination of the respondent's institutional employment, by resignation or
otherwise, before or after an allegation of possible research misconduct has been
reported, will not preclude or terminate the misconduct procedures.
If the respondent,
without admitting to the misconduct, elects to resign his or her position prior
to the initiation of an inquiry, but after an allegation has been reported, or
during an inquiry or investigation, the inquiry or investigation will proceed.
If the respondent refuses to participate in the process after resignation, the
committee will use its best efforts to reach a conclusion concerning the
allegations, noting in its report the respondent's failure to cooperate and its
effect on the committee's review of all the evidence.
Restoration of
the Respondent's Reputation
If the institution finds no misconduct (and, as applicable, ORI concurs), after
consulting with the respondent, the
Protection of the
Whistleblower and Others Regardless of whether the institution or ORI
determines that misconduct occurred, the
Allegations Not
Made in Good Faith If
relevant, the Vice President and Dean for Academic Affairs will determine
whether the whistleblower's allegations of misconduct were made in good faith.
If an allegation was not made in good faith, the Dean will determine whether
any administrative action should be taken against the whistleblower.
Interim
Administrative Actions
Institutional officials will take interim administrative actions, as
appropriate, to protect Federal funds and ensure that the purposes of the
Federal financial assistance are carried out.
Record Retention After completion of a case and all
ensuing related actions, the RIO will prepare a complete file, including the records
of any inquiry or investigation and copies of all documents and other materials
furnished to the
Source: Adapted
from the ORI Model Policy document, accessed from www.ori.dhhs.gov, August, 2002 (online
document issued April 1995 and revised February 1997).